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
OConnor Jr., Jerome J. 58743

Omaha NE

Allegation: Failure to notify the Iowa Insurance Division of prior administrative actions 2/26/04 Failure to pay fine.

Resolution: Consent signed: 1 year license probation; Pay $750 civil penalty; report any administrative action taken against him within 30 days of final disposition 2/26/04; License suspended.

Date of Order/Settlement: 2003-12-04 00:00:00

Lincoln Benefit Life Company

Lincoln NE

Allegation: Failure to cooperate in an investigation by the Commissioner.

Resolution: Consent Order - Civil penalty and costs imposed and response received for the Divisions inquiries.

Date of Order/Settlement: 2007-05-29 00:00:00

Darnell, Mary E. 58071

Grinnell IA

Allegation: Failure to comply with child support order

Resolution: License suspended

Date of Order/Settlement: 2004-10-28 00:00:00

Viking Insurance Company of Wisconsin

Stevens Point WI

Allegation: Violation in claim handling

Resolution: Consent Order issued and monetary penalty assessed.

Date of Order/Settlement: 2009-03-10 00:00:00

Barnes, Lloyd 59350

Omaha NE

Allegation: Used unlicensed agent/agents to solicit and procure applications for insurance; retained excess premium;signed application without authorization

Resolution: Consent signed: License revoked

Date of Order/Settlement: 2003-02-13 00:00:00

Beck, Eric

Urbandale IA

Allegation: Failure to respond to investigation

Resolution: Order for Suspension of license

Date of Order/Settlement: 2006-04-28 00:00:00

Christensen Jr., Robert A. 59340

Atlantic IA

Allegation: Violation of Commissioners Order; Dishonest practices and incompetence; Failure to inform of address change

Resolution: Order: License revoked

Date of Order/Settlement: 2003-03-21 00:00:00

Knall, David Wells

Indianapolis IN

Allegation: Summary Order Denying Application for Securities Agent License

Resolution: Order Vacating Denial of Securities Agent License

Date of Order/Settlement: 2009-06-15 00:00:00

Mize, Lisa

Summersville WV

Allegation: Failure to respond.

Resolution: Order - License revoked.

Date of Order/Settlement: 2006-08-18 00:00:00

Bates, David 58019

Barnum IA

Allegation: Acting as unregistered securities agent

Resolution: Order: Cease and desist acting as a securities agent without registration.

Date of Order/Settlement: 2004-04-20 00:00:00

Ahlf, Johnathan

Muscatine IA

Allegation: Reconsideration of license revocation.

Resolution: Decision issued affirming the Divisions decision to deny Ahlfs resident producer license.

Date of Order/Settlement: 2008-01-29 00:00:00

Ayala, Adriane 58944

Savannah GA

Allegation: Failure to report prior disciplinary action

Resolution: Order: License suspended until $400 Fine and $100 Costs paid

Date of Order/Settlement: 2001-11-07 00:00:00

Simmons, Henry E.

Virginia Beach VA

Allegation: Failure to notify Division of prior actions; failure to cooperate with investigation; denial of license by another state.

Resolution: Order: License revoked; Pay $250 Fine and respond to division inauires before license may be restored.

Date of Order/Settlement: 2005-07-01 00:00:00

Bacon, Jerry A 58725

Fort Dodge IA

Allegation: Improper sales of insurance products

Resolution: Consent signed: Cease and desist from further violations; 2 years probation; report consumer complaints; pay cost of $5000.

Date of Order/Settlement: 2003-07-21 00:00:00

Messmore, Gregory

Mason City IA

Allegation: Unsuitable sale and violation of insurance and securities license.

Resolution: Order & Consent to Order- Insurance and Securities License is suspended for a period of no less than five years.

Date of Order/Settlement: 2007-02-22 00:00:00

Sunrise Energy Inc

Irvine CA

Allegation: Selling nregistered securities unregistered agent

Resolution: Order: Cease and desist the offer or sale of and participating in the offer or sale of unregistered securities

Date of Order/Settlement: 2004-08-06 00:00:00

Conroy, John

East Norwich NY

Allegation: Prior regulatory action taken.

Resolution: Summary Order Denying Application for Securities Agent License.

Date of Order/Settlement: 2008-09-12 00:00:00

Schuster, Mark K. 58938

Muscatine/Bettendorf IA

Allegation: Misappropriation of premiums

Resolution: Consent Signed: License revocation; $1000 Fine; Cooperate; Repay premiums to clients and insurance companies $8926.03

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

Pettus, Rodney 58572

Charlotte NC 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

Ronnfeldt, Gary B. 58627

Miles IA

Allegation: Misappropriation of premiums; converted funds to personal use

Resolution: Consent signed: License permanently revoked.

Date of Order/Settlement: 2004-02-06 00:00:00

Tapken, John

Marion IA

Allegation: Issued retroactive coverage and forged client signatures.

Resolution: Consent Order signed and civil penalty assessed.

Date of Order/Settlement: 2007-07-24 00:00:00

Smith Jr., Herman 58349

Des Moines IA

Allegation: Failure to respond

Resolution: Consent Signed: License Revocation

Date of Order/Settlement: 2000-07-07 00:00:00

Knutson, Randy G. 58080

Ankeny IA

Allegation: Forgery

Resolution: 1 yr probation; $1500 fine; Cease & Desist from signing customers names on insurance documents

Date of Order/Settlement: 2004-12-17 00:00:00

Life Insurance Company of Georgia 59580 February 20, 2002 Insurance Insurance Company

Regulatory Settlement Agreement

Extraordinary Films aka Extraordinary Media Group Ltd April 27, 2004 Securities Unlicensed

 

San Diego CA Beverly Hills CA Chula Vista CA Allegation: Selling unregistered securities Resolution: Order: Cease and desist the offer or sale of unregistered securities Date of Order/Settlement: 2004-04-27

 

Thomas, Joyce B. 58862 August 16, 2005 Insurance Producer

Order & Consent to Order

Waters, Jason R. 50976 October 17, 2005 Insurance Producer

Order and Consent to Order

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

Consent Order and Dismissal Order

Conseco Life Insurance Company May 28, 2010 Insurance Insurance Company

Regulatory Settlement Agreement

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 

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

Order for Suspension

Nguyen, Alven 10DOCID023 October 14, 2010 Insurance Producer

 

Proposed Decision; Appeal Decision

Howard, Dana 69735 January 18, 2011 Insurance

Order and Consent to Order

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

Cease and Desist Order; Proposed Decision

Blake, Michael 66623 February 1, 2011 Insurance Producer

Order for Suspension; Order Reinstating License After Suspension

Krier, Steven 69614 February 3, 2011 Insurance Producer

Order and Consent to Order

Feeck, Ryan 69614 February 3, 2011 Insurance Producer

Order and Consent to Order

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

Order and Consent to Order

Schliemann, Justin 69795 February 14, 2011 Insurance Producer

Suspension Order

Holtsinger, John 70273 February 22, 2011 Securities Unlicensed

Cease and Desist Order; Proposed Decision

Guttenberg Municipal Hospital 63066 February 23, 2011 Insurance

Dismissal; Proposed Decision

Rainey, Leland 65834 February 24, 2011 Insurance Unlicensed

Order and Consent to Order

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

Order and Consent to Order

Wolff, Wesley 70458 March 4, 2011 Insurance Producer

Rescission of Order

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

Order and Consent to Order

Coleman, Ronald 68603 March 8, 2011 Insurance Producer

Order and Consent to Order

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

Default Order

Essig, Ruthann 68951 March 15, 2011 Insurance Producer

Suspension Order

Rolle, Robin 68942 March 15, 2011 Insurance Producer

Suspension Order

Mann, Edwin 70286 March 25, 2011 Insurance Producer

Suspension Order