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.
Click to subscribe for an email update when new orders are added to this page.
| Name | Case Number | Enforcement Date | Subject | Entity | Order |
|---|---|---|---|---|---|
| RBC Capital Markets, LLC | 80979 | December 5, 2013 | Securities | Broker Dealer |
Administrative Consent Order |
| UBS Financial Services, Inc | 81914 | December 10, 2013 | Securities | Broker Dealer |
Consent Order and Order to Cease and Desist |
| Brown, Kunta L. | 81358 | December 11, 2013 | Insurance | Producer |
Order for Suspension |
| Huynh, Samantha | 78229 | December 18, 2013 | Insurance | Producer |
Proposed Decision |
| Roberts, James | 78986 | December 23, 2013 | Securities, Insurance | Investment Adviser Representative, Producer, Securities Agent |
Order & Consent to Order |
| Miller, Todd A. | 81223 | December 23, 2013 | Insurance | Producer |
Default Order of Revocation, Cease & Desist and Civil Penalty |
| Jiles, Vincent | 81298 | December 24, 2013 | Insurance | Producer |
Order for Suspension |
| Richardson, Tom | 80333 | December 30, 2013 | Insurance | Producer |
Order & Consent Order |
| Ernst, Cory J. | 82230 | January 8, 2014 | Insurance |
Order & Consent to Order |
|
| White, Brian M. | 81767 | January 13, 2014 | Insurance | Producer |
Order for Suspension |
| Lincoln National Life Insurance Company | 82023 | January 21, 2014 | Insurance | Insurance Company |
Regulatory Settlement Agreement |
| Ahmed, Saira O. | 81816 | January 22, 2014 | Insurance | Producer |
Order for Suspension |
| Genworth Life Insurance Company | 82349 | January 22, 2014 | Insurance | Insurance Company |
Regulatory Settlement Agreement |
| Jones, Michael L. | 81930 | January 22, 2014 | Insurance | Producer |
Order & Consent Order |
| Fyfe, James J. | 81866 | January 24, 2014 | Insurance | Producer |
Order for Suspension |
| Chastang, Jasmine | 81328 | February 6, 2014 | Insurance | Producer |
Default Order |
| Crosser, Kenneth | 80240 | February 12, 2014 | Securities, Insurance | Investment Adviser Representative, Producer, Securities Agent |
Order and Consent to Order |
| Guarantee Trust Life Insurance Company | 82552 | February 14, 2014 | Insurance | Insurance Company |
Order Adopting Settlement |
| Family Life Insurance Company | 82269 | February 19, 2014 | Insurance | Insurance Company |
Order & Consent to Order |
| Livezey, Scott M. | 81929 | February 19, 2014 | Insurance | Producer |
Order for Suspension |
| Surber, Ryan C. | 81919 | February 20, 2014 | Insurance | Producer |
Order for Suspension |
| Birgoyne, Liana | 82082 | February 21, 2014 | Insurance | Producer |
Order & Consent to Order |
| Abbas, Lyle H. et al. v. Wellmark, Inc. | 12IID026 | February 21, 2014 | Insurance | Insurance Company |
Proposed Decision |
| Owens, Myron A. | 78159 | February 24, 2014 | Insurance | Producer |
Order & Consent to Order |
| Halferty, Melissa L. | 82106 | February 25, 2014 | Insurance | Producer |
Order for Suspension |
| Valenti, Anthony | 81849 | February 25, 2014 | Insurance | Producer |
Default Order of Revocation, Cease and Desist and Civil Penalty |
| Knudsen, Derek R. | 82072 | February 26, 2014 | Insurance | Producer |
Order for Suspension |
| Robbins, Crysty | 82112 | February 26, 2014 | Insurance | Producer |
Order for Suspension |
| Buck III, Dallas | 82637 | February 26, 2014 | Insurance | Producer |
Order & Consent to Order |
| Thompson, Kelly G. | 82151 | February 27, 2014 | Insurance | Producer |
Order for Suspension |
| Carry, Sarah | 82451 | March 3, 2014 | Insurance | Producer |
Order & Consent to Order |
| 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 |
| Continental Casualty Company | 82348 | March 10, 2014 | Insurance | Insurance Company |
Order & Consent to Order |
| Pontow, Thomas | 82638 | March 14, 2014 | Insurance | Producer |
Order & Consent to Order |
| Mahoney, Keith | 82552 | March 20, 2014 | Insurance | Producer |
Order & Consent to Order |
| Jerrick, Rober | 72768 | March 21, 2014 | Insurance | Producer |
Order & Consent to Order |
| Spenny, Samantha L. | 82041 | March 24, 2014 | Insurance | Producer |
Order & Consent to Order |
| Fisher, John F. | 82407 | March 31, 2014 | Insurance | Producer |
Order for Suspension |
| McClean, Deanna R. | 82371 | April 2, 2014 | Securities, Insurance | Producer, Securities Agent |
Order & Consent to Order |
| Scharingson, Jeffery B. | 82816 | April 3, 2014 | Securities, Insurance | Investment Adviser Representative, Producer |
Order & Consent to Order |
| Salgado, Jose | 76187 | April 11, 2014 | Insurance | Producer |
Order & Consent to Order |
| Woods, Thomas | 82047 | April 14, 2014 | Insurance | Producer |
Order of Probationary License |
| Gant, Robert R. | 82568 | April 21, 2014 | Insurance | Producer |
Order for Suspension |
| Kalny, Megan | 78211 | April 28, 2014 | Insurance | Producer |
Order Reinstating License After Suspension |
| Burke, Brian C. | 82518 | May 1, 2014 | Insurance | Producer |
Order Reinstating Licensee After Suspension |
| Burke, Brian C. | 82518 | May 1, 2014 | Insurance | Producer |
Order Reinstating License After Suspension & Order for Suspension |
| Waterloo Memorial Park Cemetary | 83329 | May 2, 2014 | Regulated Industries | Other |
Order to Cease and Desist and Consent to Order |
| 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 |
| 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 |
| Ameritas Investment Corporation | 78986 | May 5, 2014 | Securities | Broker Dealer, Securities Agent |
Order & Consent to Order |