Enforcement Orders and Actions
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.
Click to subscribe for an email update when new orders are added to this page.
| Name | Case Number Sort descending | Enforcement Date | Subject | Entity | Order |
|---|---|---|---|---|---|
| MetLife | 81895 | May 29, 2012 | Insurance | Insurance Company | Regulatory Settlement Agreement |
| UBS Financial Services, Inc | 81914 | December 10, 2013 | Securities | Broker Dealer | Consent Order and Order to Cease and Desist |
| Gless, Chelsea L. | 81918 | December 1, 2014 | Insurance | Producer | Order & Consent to Order |
| Clark, John T. | 81918 | December 1, 2014 | Insurance | Producer | Order & Consent to Order |
| Surber, Ryan C. | 81919 | February 20, 2014 | Insurance | Producer | Order for Suspension |
| Livezey, Scott M. | 81929 | February 19, 2014 | Insurance | Producer | Order for Suspension |
| Jones, Michael L. | 81930 | January 22, 2014 | Insurance | Producer | Order & Consent Order |
| Lincoln National Life Insurance Company | 82023 | January 21, 2014 | Insurance | Insurance Company | Regulatory Settlement Agreement |
| Spenny, Samantha L. | 82041 | March 24, 2014 | Insurance | Producer | Order & Consent to Order |
| Woods, Thomas | 82047 | April 14, 2014 | Insurance | Producer | Order of Probationary License |
| Knudsen, Derek R. | 82072 | February 26, 2014 | Insurance | Producer | Order for Suspension |
| Birgoyne, Liana | 82082 | February 21, 2014 | Insurance | Producer | Order & Consent to Order |
| Halferty, Melissa L. | 82106 | February 25, 2014 | Insurance | Producer | Order for Suspension |
| Robbins, Crysty | 82112 | February 26, 2014 | Insurance | Producer | Order for Suspension |
| Thompson, Kelly G. | 82151 | February 27, 2014 | Insurance | Producer | Order for Suspension |
| Christ, Rebekah N. | 82185 | September 25, 2014 | Insurance | Producer | Order & Consent to Order |
| Fink, Mitchell | 82229 | October 27, 2014 | Insurance | Producer | Order & Consent to Order |
| Ernst, Cory J. | 82230 | January 8, 2014 | Insurance | Order & Consent to Order |
|
| Family Life Insurance Company | 82269 | February 19, 2014 | Insurance | Insurance Company | Order & Consent to Order |
| Continental Casualty Company | 82348 | March 10, 2014 | Insurance | Insurance Company | Order & Consent to Order |
| Genworth Life Insurance Company | 82349 | January 22, 2014 | Insurance | Insurance Company | Regulatory Settlement Agreement |
| McClean, Deanna R. | 82371 | April 2, 2014 | Securities, Insurance | Producer, Securities Agent | Order & Consent to Order |
| Fisher, John F. | 82407 | March 31, 2014 | Insurance | Producer | Order for Suspension |
| Carry, Sarah | 82451 | March 3, 2014 | Insurance | Producer | Order & Consent to Order |
| Two Rivers Insurance Company, Inc. | 82465 | May 22, 2017 | Insurance | Business Entity Producer, Third Party Administrator | Order and Consent to Order |
| Burke, Brian C. | 82518 | May 1, 2014 | Insurance | Producer | Order Reinstating Licensee After Suspension |
| Burke, Brian C. | 82518 | May 1, 2014 | Insurance | Producer | Order Reinstating License After Suspension & Order for Suspension |
| Ciha, Daniel W. | 82538 | March 4, 2014 | Regulated Industries | Preneed Sales Agent, Preneed Seller, Unlicensed | Cease & Desist Order and Order of Suspension and Notice of Right of Hearing |
| Mahoney, Keith | 82552 | March 20, 2014 | Insurance | Producer | Order & Consent to Order |
| Guarantee Trust Life Insurance Company | 82552 | February 14, 2014 | Insurance | Insurance Company | Order Adopting Settlement |
| Gant, Robert R. | 82568 | April 21, 2014 | Insurance | Producer | Order for Suspension |
| Gant, Robert R. | 82568 | June 19, 2015 | Insurance | Producer | Order Reinstating License After Suspension and Order for Suspension |
| Vaudt, Brady J. | 82623 | January 23, 2015 | Insurance | Producer | Order Reinstating License After Suspension and Order for Suspension |
| Buck III, Dallas | 82637 | February 26, 2014 | Insurance | Producer | Order & Consent to Order |
| Pontow, Thomas | 82638 | March 14, 2014 | Insurance | Producer | Order & Consent to Order |
| Mikels, Mike | 82734 | June 12, 2014 | Insurance | Producer | Default Order of Revocation, C&D and Civil Penalty |
| Scharingson, Jeffery B. | 82816 | April 3, 2014 | Securities, Insurance | Investment Adviser Representative, Producer | Order & Consent to Order |
| Oberheim, Maria A. | 82828 | May 15, 2014 | Insurance | Producer | Order for Suspension |
| Pierce, James W. | 82901 | July 2, 2014 | Insurance | Unlicensed | Order & Consent Order |
| Arnie Paul Andreasen | 82902 | October 13, 2014 | Insurance | Unlicensed | Order and Consent to Order |
| Andreasen, Arnie Paul | 82902 | June 27, 2014 | Insurance | Unlicensed | Summary Cease and Desist Order |
| Taylor, Kimberly D. | 82934 | May 28, 2014 | Insurance | Producer | Order for Suspension |
| Bianchi, Rick | 83029 | October 14, 2014 | Insurance | Producer, Securities Agent | Order & Consent to Order |
| Gaye, Nyaten | 83030 | June 12, 2014 | Insurance | Producer | Default Order of Revocation, C&D and Civil Penalty |
| Ochsendorf, Christian | 83115 | September 25, 2014 | Insurance | Producer | Order & Consent to Order |
| Biede, David R. | 83233 | February 5, 2015 | Insurance | Producer | Order & Consent to Order |
| Waterloo Memorial Park Cemetary | 83329 | May 2, 2014 | Regulated Industries | Other | Order to Cease and Desist and Consent to Order |
| Papich, Michael D. | 83335 | June 16, 2014 | Regulated Industries | Preneed Sales Agent | Order & Consent to Order |
| Papich, Michael D. | 83335 | May 7, 2014 | Regulated Industries | Preneed Sales Agent | Order of Suspension for Good Cause |
| Robert L. and Michelle R. Dugger Funeral Homes LLC | 83336 | May 5, 2014 | Regulated Industries | Preneed Sales Agent, Preneed Seller | Order of Suspension for Good Cause as to Sales Agent |