The Iowa Insurance Division brings enforcement actions against individuals or entities  related to violations of Iowa statutes or rules.  These actions are typically initiated by filing a Statement of Charges or Notice of Hearing and may result in an enforcement order against a producer or entity.  If a statement of charges has been filed against you or for more information regarding contested cases, click here.

Non-compliance cases are license disciplinary actions referred to the Iowa Insurance Division by other state agencies including the Iowa Department of Revenue and the Iowa Department of Human Resources.

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Name Case Number Enforcement Date Subject Entity Order
Rowen, Theodore R. 59595

Colorado Springs CO

Allegation: Failure to disclose felony convictions information on license application

Resolution: Order Signed: License revoked

Date of Order/Settlement: 2002-06-27 00:00:00

Frederick, Ronald D. 59597

Alta IA

Allegation: Failure to respond to IID inquiry;

Resolution: Consent Signed: Cease and Desits from failing to respond to IID; $600 Costs

Date of Order/Settlement: 2002-08-01 00:00:00

Anderson, Paul A. 59598

Alta IA

Allegation: Failure to respond to IID inquiry; failure to remit premiums

Resolution: Consent Signed: License surrendered; cooperate with investigation.

Date of Order/Settlement: 2002-07-19 00:00:00

United American Insurance Company 59599

McKinney TX

Allegation: Market Conduct Exam

Resolution: Consent Signed: Implement procedures; $5000 Fine

Date of Order/Settlement: 2002-05-28 00:00:00

Conseco Annuity Assurance Company 59652

Carmel IN

Allegation: Failure to respond to IID inquiry

Resolution: Consent Signed: Respond to IID: Pay $500 Fine; $100 Costs

Date of Order/Settlement: 2002-09-10 00:00:00

Huseman, Daniel S. 59657

Alta IA

Allegation: Conviction of a felony

Resolution: Consent signed: Permanent license revocation

Date of Order/Settlement: 2002-09-18 00:00:00

Christian, Kevin M. 59663

Des Moines IA

Allegation: Failure to notify of other states actions; accepting insurance business from unlicensed persons;

Resolution: Consent Signed: 2 year license probation; Pay Reimbursement of $300; $500 Fine; Sales restrictions

Date of Order/Settlement: 2003-02-07 00:00:00

Transamerica Occidental Life Insurance Company 59668

Los Angeles CA

Allegation: Failure to respond to Insurance Division inquiry

Resolution: Consent signed: Provide response; Paid $500 Fine; $100 Costs

Date of Order/Settlement: 2002-12-16 00:00:00

Denney, Janis I. 59676

Mount Ayr IA

Allegation: Misappropriation of premiums

Resolution: Consent: License revocation; cooperate with the IID investigation

Date of Order/Settlement: 2003-01-16 00:00:00

Schatz, Kenneth C. 59696

Sioux City IA

Allegation: Failure to report criminal prosecution

Resolution: Consent Signed: If convicted of any criminal offense greater than a misdemeanor subsequent to this order license will be automatically revoked

Date of Order/Settlement: 2002-02-08 00:00:00

Montgomery, Carla S. 59710

Medical Lake WA

Allegation: Failure to notify of prior actions

Resolution: Consent Signed: $100 Fine; $100 Costs

Date of Order/Settlement: 2002-02-15 00:00:00

Employers Mutual LLC 59720

Carson City NV

Allegation: Unauthorized business of insurance

Resolution: Order signed: Cease and Desist doing business of insurance; $50000 Fine

Date of Order/Settlement: 2002-01-14 00:00:00

Cabell, Douglas J. 59721

Bettendorf IA

Allegation: Advertising Violations

Resolution: Consent Signed: 2 yrs probation; $500 Costs

Date of Order/Settlement: 2002-02-11 00:00:00

Nunnikhoven, Carl F. 59731

Oskaloosa IA

Allegation: Replacement violations

Resolution: Consent Signed: 1 yr probation; $750 Fine; $250 Costs

Date of Order/Settlement: 2002-01-17 00:00:00

Continental Casualty Company 59733

Chicago IL

Allegation: Failure to respond to Division inquiry

Resolution: Consent signed: Respond to inquiry; $500 Fine; $100 Costs

Date of Order/Settlement: 2002-02-20 00:00:00

Puget Sound Agricultural Society 59737

Arbuckle CA

Allegation: Conducting business of insurance in Iowa without a license; other states actions.

Resolution: Order on Default: Order to Cease and Desist issued on 1/22/02 is final; Cease and desist from the offer or sale of and operation of unauthorized insurer; $50000 civil penalty

Date of Order/Settlement: 2002-02-20 00:00:00

Guttenberg Municipal Hospital 63066 February 23, 2011 Insurance

Dismissal; Proposed Decision

Lubarsky, Larry 63422

Brooklyn NY

Allegation: Prior regulatory action

Resolution: Summary Order Denying Application for Securities Agent License.

Date of Order/Settlement: 2009-01-05 00:00:00

Rainey, Leland 65834 February 24, 2011 Insurance Unlicensed

Order and Consent to Order

Blake, Michael 66623 February 1, 2011 Insurance Producer

Order for Suspension; Order Reinstating License After Suspension

Covenant Benefits, Inc. a/k/a Covenant Advisors and Noah James Aulwes a/k/a Tom Lee Aulwes a/k/a Thomas Lee Aulwes 66957 August 24, 2010 Securities, Insurance Investment Adviser Representative, Producer

Order and Consent to Order and Agreement 

White, Jill 67013 April 12, 2010 Regulated Industries Preneed Sales Agent

Consent Order and Dismissal Order

Bristol West Insurance Company 67308 March 28, 2011 Insurance Insurance Company

Order and Consent to Order

Shipley, James 68175 September 15, 2011 Insurance Producer

Order and Consent Order

Fedders, Matthew 68424 April 18, 2011 Regulated Industries Preneed Sales Agent

Order and Consent to Order

Coleman, Ronald 68603 March 8, 2011 Insurance Producer

Order and Consent to Order

Schroder, Mark A. 68752 September 30, 2010 Insurance Producer

Order for Suspension

Prosapia Financial LLC; Prosapia Capital Management LLC; Alan Lucas; Robyn Renee Palmer 68806 January 28, 2011 Securities Unlicensed

Cease and Desist Order; Proposed Decision

Albright, Julie 68887 April 26, 2011 Regulated Industries Preneed Sales Agent

Proposed Decision

Flaherty, Dennis M. 68888 February 25, 2011 Insurance Public Adjuster

Order and Consent to Order

Simon, Joseph 68909 June 10, 2011 Regulated Industries Preneed Sales Agent

Order and Consent to Order

Rolle, Robin 68942 March 15, 2011 Insurance Producer

Suspension Order

Shad N. Clayton 68943 September 7, 2017 Insurance Producer

Order For Reissuance After License Suspension and Expiration

Essig, Ruthann 68951 March 15, 2011 Insurance Producer

Suspension Order

Lemke, John 68983 March 10, 2011 Regulated Industries Preneed Sales Agent

Default Order

Degeeter, Devin T. 69101 April 5, 2011 Insurance Producer

Order and Consent to Order 

State Adjusters LLC; Donald Schuett 69194 June 7, 2011 Insurance Unlicensed

Summary Cease and Desist Order; Default Order

Kayser, James Bernard 69300 March 25, 2011 Securities, Insurance Investment Adviser Representative, Producer, Securities Agent

Order and Consent to Order and Agreement

Thiede, William A. 69335 April 10, 2012 Insurance Producer

Default Order

Kleve, Linda 69482 June 3, 2011 Insurance Producer

Order and Consent to Order

Feeck, Ryan 69614 February 3, 2011 Insurance Producer

Order and Consent to Order

Krier, Steven 69614 February 3, 2011 Insurance Producer

Order and Consent to Order

Duehr, Mark 69672 April 11, 2011 Insurance Producer

Default Order

Howard, Dana 69735 January 18, 2011 Insurance

Order and Consent to Order

Clapper, Jill 69794 November 4, 2011 Regulated Industries Preneed Sales Agent

Consent to Order

Schliemann, Justin 69795 February 14, 2011 Insurance Producer

Suspension Order

Budget Rent A Car of Iowa City 70056 February 7, 2011 Insurance Unlicensed

Order and Consent to Order

Lincoln General Insurance Company 70096 March 4, 2011 Insurance Insurance Company

Order and Consent to Order

R&Q Reinsurance Company 70099 April 27, 2011 Insurance Insurance Company

Order and Consent to Order

Holtsinger, John 70273 February 22, 2011 Securities Unlicensed

Cease and Desist Order; Proposed Decision