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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| Mize, Lisa |
Summersville WV Allegation: Failure to respond. Resolution: Order - License revoked. Date of Order/Settlement: 2006-08-18 00:00:00 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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
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| 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 |
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| 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 |
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| 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 |
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| 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 |