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 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