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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.

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Name Case Number Enforcement Date Sort descending Subject Entity Order Non-compliance Case
Burkett, Corinne 76390 May 30, 2012 Insurance Producer

Order for Suspension

Yes
Freed, Ronald 76389 May 30, 2012 Insurance Producer

Order for Suspension

Yes
Weaver, Andy 74140 June 4, 2012 Insurance Producer

Order for Suspension

Yes
Millage, Andrew 73785 June 4, 2012 Insurance Producer

Order for Suspension

Yes
Stalheim, Roger L. 75491 June 11, 2012 Insurance Producer

Order & Consent to Order

No
Kruger, Stephen 76611 June 13, 2012 Insurance Producer

Order for Suspension

Yes
Livezey, Scott M. 75917 June 13, 2012 Insurance Producer

Default Order

No
Douglas, Vincent 76619 June 13, 2012 Insurance Producer

Order for Suspension

Yes
Winegarden, Van 76610 June 13, 2012 Insurance Producer

Order for Suspension

Yes
Lumbermans Mutual Casualty Company July 9, 2012 Insurance Insurance Company

Suspension Order

No
American Manufacturers Mutual Insurance Company July 9, 2012 Insurance Insurance Company

Suspension Order

No
Lange, Richard A. 77073 July 10, 2012 Insurance Producer

Order & Consent to Order

No
Neal, Tomica 76454 July 13, 2012 Insurance Producer

Order for Suspension

Yes
Spratt, Michael 76763 July 13, 2012 Insurance Producer

Order for Suspension

Yes
Kingston, Richard 76614 July 17, 2012 Insurance Producer

Order for Suspension; Order Reinstating License After Suspension

Yes
Phillips, Dale 76804 July 23, 2012 Insurance Producer

Order for Suspension; Order Reinstating License After Suspension

Yes
Millers First Insurance Company July 27, 2012 Insurance Insurance Company

Suspension Order

No
Morgan Asset Management, Inc; Morgan Keegan & Company, Inc. 71514 July 27, 2012 Securities Broker Dealer, Investment Adviser

Administrative Consent Order

No
Alegent Health System 77369 July 30, 2012 Insurance Insurance Company

Order & Consent to Order

No
Stepanek, John M. 77458 August 2, 2012 Regulated Industries Preneed Sales Agent

Order & Consent to Order

No
Standard Life Insurance Company of Indiana August 7, 2012 Insurance Insurance Company

Suspension Order

No
Berry, Rodney D. 76741 August 10, 2012 Insurance Producer

Proposed Decision

No
Thomas, Rayna 76613 August 12, 2012 Insurance Producer

Order for Suspension

Yes
Ellis, James J. 76549 August 22, 2012 Insurance Producer

Proposed Decision

No
Stammer, Terry 77096 August 22, 2012 Insurance Producer

Order for Suspension; Order Reinstating License After Suspension

Yes
Ryder System, Inc. 77799 September 4, 2012 Insurance

Order & Consent to Order

No
Black, Michael 77402 September 7, 2012 Insurance Producer

Order for Suspension

Yes
Raymond James & Associates, Inc 72282 September 17, 2012 Securities Broker Dealer

Administrative Consent Order

No
E*Trade Securities LLC 73961 September 17, 2012 Securities Broker Dealer

Administrative Consent Order

No
Lacour, Connie 77532 October 1, 2012 Insurance Producer

Order for Suspension

Yes
Grillet, Sandy 77536 October 1, 2012 Insurance Producer

Order for Suspension

Yes
Abel, Mark E. 77531 October 1, 2012 Insurance Producer

Order for Suspension

Yes
Welte, Douglas E. 78144 October 8, 2012 Insurance Producer

Order & Consent to Order

No
Oberly, Linda 77639 October 11, 2012 Insurance Producer

Order for Suspension

Yes
Brown, Russell 77643 October 11, 2012 Insurance Producer

Order for Suspension

Yes
Lloyd, Timothy 77647 October 11, 2012 Insurance Producer

Order for Suspension

Yes
Kelderman, Curtis 77651 October 12, 2012 Insurance Producer

Order for Suspension

Yes
Atwood, Thomas 77658 October 12, 2012 Insurance Producer

Order for Suspension

Yes
Schmidt, Jeffrey 77652 October 12, 2012 Insurance Producer

Order for Suspension

Yes
Logsdon, Richie 77659 October 12, 2012 Insurance Producer

Order for Suspension

Yes
Nationwide Financial Services, Inc 78284 October 15, 2012 Insurance Insurance Company

Regulatory Settlement Agreement

No
Standard Life Insurance Company of Indiana October 22, 2012 Insurance Insurance Company

Suspension Order

No
AGC Life Insurance Company 78365 October 22, 2012 Insurance Insurance Company

Regulatory Settlement Agreement

No
Kapp, Charles 77724 October 24, 2012 Insurance Producer

Order for Suspension

Yes
Fitzgibbon, Joseph 77656 October 26, 2012 Insurance Producer

Order for Suspension; Order Reinstating License After Suspension

Yes
Bankers Life and Casualty Company 77064 November 6, 2012 Securities Unlicensed

Administrative Consent Order

No
Madsen, Aaron 78095 November 9, 2012 Insurance Producer

Order for Suspension

Yes
Hancock, John 78590 November 9, 2012 Insurance Insurance Company

Regulatory Settlement Agreement

No
Lickiss, Stephen 77483 November 9, 2012 Insurance Producer

Order for Suspension

Yes
Rowell, David 78186 November 13, 2012 Insurance Producer

Order for Suspension

Yes