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 | Order Date | Subject | Entity | Order |
|---|---|---|---|---|---|
| Adam Jr., Jack |
Ankeny IA Allegation: Failed to Notify the Division of Criminal Proceedings. Resolution: Order and Consent to Order monetary penalty assessed. Date of Order/Settlement: 2008-04-02 00:00:00 |
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| Privolos, George T. | 59368 |
Bloomington IL Allegation: Provided incorrect information on license application Resolution: Order: License revoked; Pay $500 Fine and $200 Costs before relicensure Date of Order/Settlement: 2005-07-29 00:00:00 |
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| Zaber, John T. | 58744 |
Dubuque IA Allegation: Omission from insurance application; false statement to an insurer and the Iowa Insurance Division. Resolution: Consent signed: 2 yr probation; Pay $1000 Fine; $250 Costs Date of Order/Settlement: 2003-08-29 00:00:00 |
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| Success Trust and Holding LLC |
Simpsonville SC Allegation: Sale of unregistered security. Resolution: Cease and Desist Order issued. Date of Order/Settlement: 2007-03-15 00:00:00 |
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| American Equity Investment Life Insurance Company | 58055 |
Des Moines IA Allegation: Failure to submit dividend information to Insurance Division prior to declaration and payment to stockholders. Resolution: Consent signed: Agree to list dividends from January 1 2000 to present; report all dividends within 5 business days; pay $1500 fine and $500 Costs Date of Order/Settlement: 2004-09-09 00:00:00 |
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| Conseco Senior Health Insurance Company |
Carmel IN Allegation: Failure to respond to Division inquiry Resolution: Consent Signed: Provide response to Division; Pay $500 Fine $100 Costs Date of Order/Settlement: 2002-09-25 00:00:00 |
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| Whitinger, Trent |
Fairfax IA Allegation: Falsified coverage Resolution: Consent Order issued suspending insurance producer license for 180 days and imposed a civil penalty. Date of Order/Settlement: 2008-12-31 00:00:00 |
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| Artz, Scott | 59395 |
Sarasota FL Allegation: Failure to notify of other states action Resolution: Order; License revoked; $250 fine Date of Order/Settlement: 2005-12-22 00:00:00 |
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| Segal, Michael | 58423 |
Chicago IL Allegation: Failure to report administrative actions within 30 days of conclusion of such matters Resolution: Consent signed: Agrees to immediate suspension of license until underlying federal charges are resolved; upon resolution may petition to lift suspension; Cease and Desist any insurance activity in Iowa. Date of Order/Settlement: 2004-02-18 00:00:00 |
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| Parker, Jay A. | 57985 |
Cicero IL Allegation: Failure to respond to Ins. Div.; Failure to report Administrative Action Resolution: Order: License Suspended; $500 Fine; $100 Costs; provide a complete response and pay fine and costs. Date of Order/Settlement: 2000-11-13 00:00:00 |
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| Moscoso, Luis |
Dubuque IA Allegation: Unauthorized Insurer; Failure to disclose to policyholders that NFA is not a tax exempt organization; Misleading sales presentations; Unlawful solicitation of insurance business; Unsuitable transactions or recommendations. Resolution: Consent Order signed: Insurance producer license is revoked and is permanently barred from reapplying for insurance license or applying for a securities agent license or investment advisor representative license. Date of Order/Settlement: 2007-08-21 00:00:00 |
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| Premium Income Corporation | 58124 |
Seattle WA Allegation: Sale of unregistered securities in Iowa; misrepresentations and omissions in the sales of unregistered securities Resolution: Cease and desist order in the sale of unregistered securities by an unregistered agent. Date of Order/Settlement: 2005-03-22 00:00:00 |
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| Petersen, Jeff A. | 59316 |
Sioux City IA Allegation: Unlicensed activity Resolution: Consent signed: Cease and Desist with unlicensed offer and sale of insurance; Pay costs of $7000. Date of Order/Settlement: 2003-04-04 00:00:00 |
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| Opheim, James |
Spencer IA Allegation: Misappropriation of funds Resolution: Summary suspension Order to Cease and Desist and Revocation Date of Order/Settlement: 2009-07-31 00:00:00 |
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| Steiber, Danny |
Janesville IA Allegation: Failure to Respond Resolution: Order - License revoked Date of Order/Settlement: 2006-09-22 00:00:00 |
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| Semon, Roy L. | 58680 |
Sergeant Bluff IA Allegation: Advertising violations Resolution: Consent signed: 2 yr probation; $500 Fine and $200 Costs paid. Date of Order/Settlement: 2003-06-02 00:00:00 |
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| Smith, Douglas |
Ankeny IA Allegation: Misrepresentation; Replacement violation Resolution: Decision - 2 yr probation; 30 day suspension; Civil penalty assessed. Date of Order/Settlement: 2006-12-20 00:00:00 |
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| Dodd, Larenzo |
Cedar Rapids IA Allegation: Failure to disclose all criminal convictions on application Resolution: Order: Denial of application for an linsurance license is upheld. Date of Order/Settlement: 2004-06-24 00:00:00 |
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| Rhone, Robert M. | 59594 |
Mingo IA Allegation: Failure to submit premiums to ins. co.. Resolution: Consent Signed: License suspended: pay $800 Fine; $200 Costs; Maintain separate premium trust account. Date of Order/Settlement: 2002-05-09 00:00:00 |
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| Grosvenor, Maria |
Riverview FL Allegation: Failure to disclose a criminal conviction on license application. Resolution: Consent Order issued and a monetary penalty assessed. Date of Order/Settlement: 2008-05-20 00:00:00 |
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| Northrop, Kenneth |
Floyd IA Allegation: Named as a beneficiary on a policy of an unrelated policyholder Resolution: Consent: Cease and desist violation; 1 year probation; repay to the estate the amount received Date of Order/Settlement: 2005-09-12 00:00:00 |
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| Mutual of Omaha Insurance Company | 59345 |
Omaha NE Allegation: Failure to comply with requirements of external review procedure Resolution: Consent signed: Pay $500 Fine Date of Order/Settlement: 2003-11-26 00:00:00 |
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| Duffin, Richard |
Lehi UT Allegation: Unregistered investment advisor and representative. Resolution: Consent Order signed and civil penalty assessed. Date of Order/Settlement: 2007-05-29 00:00:00 |
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| Edward D. Jones & Company LP |
St. Louis MO Allegation: Failed to reasonably supervise securities agent Resolution: Cease and desist filing to supervise; Pay $9500 Fine and Costs Date of Order/Settlement: 2004-10-07 00:00:00 |
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| Baxter, Raymond E. | 59305 |
Ft. Madison IA Allegation: Sale of unregistered securities and/or unregistered business opportunities Resolution: Consent signed: 1 yr probation; repayment of commissions and finders fee payments $2695. Date of Order/Settlement: 2003-02-10 00:00:00 |
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| Moffitt, Joann M. |
Olathe KS Allegation: Misappropriating monies; using fraudulent coercive or dishonest practices in the conduct of business; demonstrating incompetence untrustworthiness or financial irresponsibility in the conduct of business. Resolution: Order issued and a consent order issued revoking insurance producer license. Date of Order/Settlement: 2009-03-04 00:00:00 |
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| Flowers, Larry W. |
Gainsville GA Allegation: Failure to notify Division of prior actions; Failure to cooperate with investigation. Resolution: License revoked. Date of Order/Settlement: 2006-03-22 00:00:00 |
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| Wilkin, Walter W. | 59061 |
Fairbank IA Allegation: Misrepresenting terms of a proposed insurance contract; forgery and executing insurance transactions without authority; failure to cooperate with Division investigation; twisting; unadmitted replacement. Resolution: Order: Iowa insurance producer license revoked permanently. Date of Order/Settlement: 2004-03-22 00:00:00 |
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| Johnson, Mark W. | 59535 |
Sparta WI Allegation: Unsuitable sales; duplication of coverage Resolution: Order signed: License revoked permanently and forevermore Date of Order/Settlement: 2001-06-18 00:00:00 |
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| Yamada, Judy Ann |
Harlan IA Allegation: Failure to disclose criminal convictions on appl. For licensure. Resolution: Consent signed & monetary penalty assessed. Date of Order/Settlement: 2007-10-15 00:00:00 |
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| Augustine, Amanda | 58630 |
Streator IL Allegation: Failure to notify Division of prior actions Resolution: Order: License revoked; pay Fine of $500 and Costs of $200 before relicensure. Date of Order/Settlement: 2005-04-27 00:00:00 |
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| Kiegley, Douglass | 59469 |
Adel IA Allegation: Alleged Sale of Unregistered Securities Resolution: Consent Signed: Permanent Revocation of License Date of Order/Settlement: 2001-09-25 00:00:00 |
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| Maytag Corporation |
Benton Harbor MI Allegation: Failure to timely file and failure to respond. Resolution: Consent Order issued and monetary penalty assessed. Date of Order/Settlement: 2008-01-16 00:00:00 |
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| Praul, Allen D. | 58123 |
Bettendorf IA Allegation: Sale of unregistered securities; omitting material facts/ information; misstatements of material facts; practice to defraud; unregistered as a securities agent; unsuitable sales; exerted undue influence over clients. Resolution: Consent signed: insurance license revoked; permanently barred from reapplying; permanently barred from applying for securities license. Date of Order/Settlement: 2005-06-21 00:00:00 |
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| NCMIC Insurance Company | 58726 |
Des Moines IA Allegation: Failure to file notice of dividends Resolution: Consent signed: List dividends from 1/1/00 to present; Report list of dividends to shareholders within timeframe parameters of declaration; Pay $1500 Fine; $500 Costs Date of Order/Settlement: 2003-07-03 00:00:00 |
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| (The) Just Foundation |
Tarpon Springs FL Allegation: Unregistered securities Unregistered agents Ommissions and Misrepresentations. Resolution: Order and Consent to Order signed. Civil penalty imposed in Cease & Desist is vacated. Date of Order/Settlement: 2007-02-07 00:00:00 |
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| Helland, Ronald S. |
Ames IA Allegation: Forging of customers signatures on insurance form Resolution: Consent: Cease and desist from allegation; pay $400 Fine and $100 Costs Date of Order/Settlement: 2004-08-02 00:00:00 |
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| Lund, William J. | 59170 |
Norwalk OH Allegation: Selling unlicensed crop insurance programs Resolution: Consent Signed: Cease & Desist; Use approved marketing material; $500 Costs Date of Order/Settlement: 2002-07-18 00:00:00 |
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| Whirlpool Corporation |
Benton Harbor MI Allegation: Failure to timely file renewal. Resolution: Consent Order issued and monetary penalty assessed. Date of Order/Settlement: 2008-08-13 00:00:00 |
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| Newkirk, Timothy | 59396 |
De Pere WI Allegation: Failure to notify of other state's action Resolution: Order; License revoked $250 fine Date of Order/Settlement: 2005-12-22 00:00:00 |
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| Goldman Sachs & Co | 58413 |
New York NY Allegation: Failure to adequately supervise companies and investment banking staff. Resolution: Consent: without admitting or denying cease and desist and pay $250000 Fine Date of Order/Settlement: 2004-01-30 00:00:00 |
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| Tallett, David |
Cedar Rapids IA Allegation: Advertising Violation Resolution: Consent Order signed. Civil penalty assessed. Date of Order/Settlement: 2007-07-19 00:00:00 |
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| Riley, Dennis E. |
Cedar Falls IA Allegation: False statements and entries misrepresentation by producer on insurance application; omission of producers name on application; dishonesty. Resolution: Consent signed: Cease and desist violation; license suspended for 30 days; after suspension 2 year probation; complete CE ethics class; send copies of any complaints to Division within 30 days of receipt; pay $13000 fine and costs. Date of Order/Settlement: 2004-12-09 00:00:00 |
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| McGinnis, Douglas D. | 59303 |
Shenandoah IA Allegation: Sale of unregistered securities and/or business opportunities Resolution: Consent signed: 1 yr probation; repay all commissions and/or finders fees $9000; sell only approved insurance products. Date of Order/Settlement: 2003-03-17 00:00:00 |
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| Cillo, Mark |
Saint Louis MO Allegation: Misrepresentation Resolution: Order Vacating Summary Cease and Desist Order Date of Order/Settlement: 2009-05-27 00:00:00 |
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| Stabile, Timothy |
Ottumwa IA Allegation: Stabile improperly withheld misappropriated or converted moneys received in the course of doing business. Resolution: Order & Consent to Order - permanently barred from reapplying for an insurance producer license in Iowa and also permanently barred from reapplying for a securities agent license in Iowa. Date of Order/Settlement: 2006-08-08 00:00:00 |
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| Lavin, Larry |
Milford IA Allegation: Violation of previous order Resolution: Consent Signed: Insurance license permanently revoked. Date of Order/Settlement: 2004-04-08 00:00:00 |
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| Arey, Chad |
Des Moines IA Allegation: Misrepresentation on license renewal application Resolution: Order & Consent to Order; paid civil penalty and costs. Date of Order/Settlement: 2006-10-09 00:00:00 |
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| Mutual Service Life Insurance Company | 58487 |
Arden Hills MN Allegation: Failure to respond to Division inquiry Resolution: Consent: Provide substantive response; pay $500 Costs Date of Order/Settlement: 2004-05-14 00:00:00 |
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| 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 |