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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
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