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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
QBE Holdings, Inc. 96691 December 8, 2017 Insurance Insurance Company

Regulatory Settlement Agreement

No
Randy Rudolph 95133 January 2, 2018 Insurance Producer

Order Reinstating License After Suspension

Yes
Alliance-One Services, Inc. 91829 January 3, 2018 Insurance Third Party Administrator

Regulatory Settlement Agreement

No
Kerry P. Erts 93576 January 10, 2018 Insurance Producer

Order and Consent to Order

No
Jeffrey L. Carman 96386 January 16, 2018 Insurance Producer

Order for Suspension

Yes
Kelly Joneson 96953 January 16, 2018 Insurance Producer

Emergency Order to Cease and Desist

No
Jason J. Warner 96619 January 16, 2018 Insurance Producer

Order for Suspension

Yes
Robert Payne 96970 January 16, 2018 Insurance Producer

Emergency Order to Cease and Desist

No
Yochannon Polter 96971 January 16, 2018 Insurance Producer

Emergency Order to Cease and Desist

No
Matthew Tyc 96427 January 17, 2018 Insurance Producer

Order for Suspension

Yes
Jefferson Insurance Company 97191 January 19, 2018 Insurance Insurance Company

Regulatory Settlement Agreement

No
Arch Insurance Company 97189 January 19, 2018 Insurance Insurance Company

Regulatory Settlement Agreement

No
BCS Insurance Company 97190 January 19, 2018 Insurance Insurance Company

Regulatory Settlement Agreement

No
Transamerica Casualty Insurance Company 97192 January 19, 2018 Insurance Insurance Company

Regulatory Settlement Agreement

No
Nationwide Mutual Insurance Company 97194 January 19, 2018 Insurance Insurance Company

Regulatory Settlement Agreement

No
Berkshire Hathaway Specialty Insurance Company and National Indemnity Company 97193 January 19, 2018 Insurance Insurance Company

Regulatory Settlement Agreement

No
American Modern Home Insurance Company 97195 January 19, 2018 Insurance Insurance Company

Regulatory Settlement Agreement

No
Blayne Fitzsimmons Lewis 96486 January 31, 2018 Insurance Producer

Order for Suspension

Yes
Jacob K. Scroggin 96523 January 31, 2018 Insurance Producer

Order for Suspension

Yes
Richard S. Martin 96531 January 31, 2018 Insurance Producer

Order for Suspension

Yes
Jacob R. Brager 96059 February 6, 2018 Insurance Producer

Order for Suspension

Yes
Brandon Guy 96721 February 6, 2018 Insurance Producer

Order for Suspension

Yes
State Farm Life Insurance Company; State Farm Life and Accident Assurance Company; and State Farm Health Insurance Company 97245 February 7, 2018 Insurance Insurance Company

Regulatory Settlement Agreement

No
United States Fire Insurance Company 97248 February 7, 2018 Insurance Insurance Company

Regulatory Settlement Agreement

No
American Family Life Assurance Company of Columbus (AFLAC) 97247 February 7, 2018 Insurance Insurance Company

Regulatory Settlement Agreement

No
Generali U.S. Branch 97249 February 7, 2018 Insurance Insurance Company

Regulatory Settlement Agreement

No
Matthew H. Mitchell 96499 February 20, 2018 Insurance Producer

Order and Consent to Order

No
Whitney Roth 96498 February 20, 2018 Insurance Producer

Order and Consent to Order

No
Adam Brown 96722 February 21, 2018 Insurance Producer

Order for Suspension

Yes
Robert Payne 96970 March 1, 2018 Insurance Producer

Consent Order

No
Michael D. Ray Jr. 96494 March 2, 2018 Insurance Producer

Order for Suspension

Yes
Kelly Joneson 96953 March 20, 2018 Insurance Producer

Consent Order

No
Allianz Life Insurance Company of North America 78053 March 20, 2018 Securities Insurance Company

Modification to 2012 Regulatory Settlement Agreement

No
Lincoln Mason and Mason Lindhart Funeral Home, Ltd. 96703 March 20, 2018 Regulated Industries Preneed Sales Agent, Preneed Seller

Consent Order

No
Joy Heldt 97349 March 28, 2018 Insurance Producer

Order and Consent to Order

No
Christopher L. Cruse 96374 March 28, 2018 Insurance Producer

Order for Suspension

Yes
Matthew H. Mitchell 96499 March 28, 2018 Insurance Producer

Order Reinstating License After Suspension

No
HCC Group d/b/a HCC Life Insurance Company; HCC Medical Insurance Services, LLC; HCC Insurance Holdings, Inc. 97348 April 2, 2018 Insurance Insurance Company

Regulatory Settlement Agreement

No
Richard S. Martin 96531 April 3, 2018 Insurance Producer

Order Reinstating License After Suspension

Yes
Bruce A. Hauptman 92501 April 6, 2018 Securities Unlicensed

Findings of Fact, Conclusions of Law and Final Order

No
Lardell Allen 97259 April 24, 2018 Insurance Producer

Order for Suspension

Yes
Yochannon Polter 96971 April 24, 2018 Insurance Producer

Consent Order

No
Public Service Insurance Company May 3, 2018 Insurance Insurance Company

Summary Order of Suspension

No
Lukas Jack 97388 May 4, 2018 Insurance Producer

Order for Suspension

Yes
Michael D. Graham 97738 May 4, 2018 Insurance Producer

Order and Consent to Order

No
Antoine Parker 97583 May 16, 2018 Insurance Producer

Order for Suspension

Yes
Michael Anthony 97584 May 16, 2018 Insurance Producer

Order for Suspension

Yes
Michael Wathen 97782 May 30, 2018 Insurance Producer

Order for Suspension

Yes
Joel A. Courtney 97752 May 30, 2018 Insurance Producer

Order for Suspension

Yes
Kyle Lovan 97504 May 30, 2018 Insurance Producer

Order for Suspension

Yes