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 |
|---|---|---|---|---|---|---|
| RBC Capital Markets, LLC | 80979 | December 5, 2013 | Securities | Broker Dealer | Administrative Consent Order |
No |
| UBS Financial Services, Inc | 81914 | December 10, 2013 | Securities | Broker Dealer | Consent Order and Order to Cease and Desist |
No |
| Brown, Kunta L. | 81358 | December 11, 2013 | Insurance | Producer | Order for Suspension |
Yes |
| Huynh, Samantha | 78229 | December 18, 2013 | Insurance | Producer | Proposed Decision |
No |
| Roberts, James | 78986 | December 23, 2013 | Securities, Insurance | Investment Adviser Representative, Producer, Securities Agent | Order & Consent to Order |
No |
| Miller, Todd A. | 81223 | December 23, 2013 | Insurance | Producer | Default Order of Revocation, Cease & Desist and Civil Penalty |
No |
| Jiles, Vincent | 81298 | December 24, 2013 | Insurance | Producer | Order for Suspension |
Yes |
| Richardson, Tom | 80333 | December 30, 2013 | Insurance | Producer | Order & Consent Order |
No |
| Ernst, Cory J. | 82230 | January 8, 2014 | Insurance | Order & Consent to Order |
No | |
| White, Brian M. | 81767 | January 13, 2014 | Insurance | Producer | Order for Suspension |
Yes |
| Lincoln National Life Insurance Company | 82023 | January 21, 2014 | Insurance | Insurance Company | Regulatory Settlement Agreement |
No |
| Jones, Michael L. | 81930 | January 22, 2014 | Insurance | Producer | Order & Consent Order |
No |
| Ahmed, Saira O. | 81816 | January 22, 2014 | Insurance | Producer | Order for Suspension |
Yes |
| Genworth Life Insurance Company | 82349 | January 22, 2014 | Insurance | Insurance Company | Regulatory Settlement Agreement |
No |
| Fyfe, James J. | 81866 | January 24, 2014 | Insurance | Producer | Order for Suspension |
Yes |
| Chastang, Jasmine | 81328 | February 6, 2014 | Insurance | Producer | Default Order |
No |
| Crosser, Kenneth | 80240 | February 12, 2014 | Securities, Insurance | Investment Adviser Representative, Producer, Securities Agent | Order and Consent to Order |
No |
| Guarantee Trust Life Insurance Company | 82552 | February 14, 2014 | Insurance | Insurance Company | Order Adopting Settlement |
No |
| Family Life Insurance Company | 82269 | February 19, 2014 | Insurance | Insurance Company | Order & Consent to Order |
No |
| Livezey, Scott M. | 81929 | February 19, 2014 | Insurance | Producer | Order for Suspension |
Yes |
| Surber, Ryan C. | 81919 | February 20, 2014 | Insurance | Producer | Order for Suspension |
Yes |
| Abbas, Lyle H. et al. v. Wellmark, Inc. | 12IID026 | February 21, 2014 | Insurance | Insurance Company | Proposed Decision |
No |
| Birgoyne, Liana | 82082 | February 21, 2014 | Insurance | Producer | Order & Consent to Order |
No |
| Owens, Myron A. | 78159 | February 24, 2014 | Insurance | Producer | Order & Consent to Order |
No |
| Valenti, Anthony | 81849 | February 25, 2014 | Insurance | Producer | Default Order of Revocation, Cease and Desist and Civil Penalty |
No |
| Halferty, Melissa L. | 82106 | February 25, 2014 | Insurance | Producer | Order for Suspension |
Yes |
| Robbins, Crysty | 82112 | February 26, 2014 | Insurance | Producer | Order for Suspension |
Yes |
| Knudsen, Derek R. | 82072 | February 26, 2014 | Insurance | Producer | Order for Suspension |
Yes |
| Buck III, Dallas | 82637 | February 26, 2014 | Insurance | Producer | Order & Consent to Order |
No |
| Thompson, Kelly G. | 82151 | February 27, 2014 | Insurance | Producer | Order for Suspension |
Yes |
| Carry, Sarah | 82451 | March 3, 2014 | Insurance | Producer | Order & Consent to Order |
No |
| 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 |
No |
| Continental Casualty Company | 82348 | March 10, 2014 | Insurance | Insurance Company | Order & Consent to Order |
No |
| Pontow, Thomas | 82638 | March 14, 2014 | Insurance | Producer | Order & Consent to Order |
No |
| Mahoney, Keith | 82552 | March 20, 2014 | Insurance | Producer | Order & Consent to Order |
No |
| Jerrick, Rober | 72768 | March 21, 2014 | Insurance | Producer | Order & Consent to Order |
No |
| Spenny, Samantha L. | 82041 | March 24, 2014 | Insurance | Producer | Order & Consent to Order |
No |
| Fisher, John F. | 82407 | March 31, 2014 | Insurance | Producer | Order for Suspension |
Yes |
| McClean, Deanna R. | 82371 | April 2, 2014 | Securities, Insurance | Producer, Securities Agent | Order & Consent to Order |
No |
| Scharingson, Jeffery B. | 82816 | April 3, 2014 | Securities, Insurance | Investment Adviser Representative, Producer | Order & Consent to Order |
No |
| Salgado, Jose | 76187 | April 11, 2014 | Insurance | Producer | Order & Consent to Order |
No |
| Woods, Thomas | 82047 | April 14, 2014 | Insurance | Producer | Order of Probationary License |
No |
| Gant, Robert R. | 82568 | April 21, 2014 | Insurance | Producer | Order for Suspension |
Yes |
| Kalny, Megan | 78211 | April 28, 2014 | Insurance | Producer | Order Reinstating License After Suspension |
Yes |
| Burke, Brian C. | 82518 | May 1, 2014 | Insurance | Producer | Order Reinstating License After Suspension & Order for Suspension |
Yes |
| Burke, Brian C. | 82518 | May 1, 2014 | Insurance | Producer | Order Reinstating Licensee After Suspension |
Yes |
| Waterloo Memorial Park Cemetary | 83329 | May 2, 2014 | Regulated Industries | Other | Order to Cease and Desist and Consent to Order |
No |
| 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 |
No |
| Ameritas Investment Corporation | 78986 | May 5, 2014 | Securities | Broker Dealer, Securities Agent | Order & Consent to Order |
No |
| 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 Seller |
No |