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 Order Date Subject Entity Order
Barth, Douglas N. 59294

Independence IA

Allegation: Misappropriation of premiums

Resolution: Order signed: License permanently revoked

Date of Order/Settlement: 2001-05-01 00:00:00

Woods, Jerald Lee

Elizabethtown KY

Allegation: Unregistered agent; unregistered securities

Resolution: Default Order issued with an assessed monetary penalty.

Date of Order/Settlement: 2009-07-09 00:00:00

Clark, Deborah

Quimby IA

Allegation: Consumer Complaints

Resolution: Order & Consent to Order with a Heightened Supervision Agreement

Date of Order/Settlement: 2006-08-18 00:00:00

Blazicek, Diane J. 59319

Johnson City NY

Allegation: Material misstatement on application for licensure; revocation of insurance license in another state; failure to notify Division of prior actions

Resolution: Order: License revoked

Date of Order/Settlement: 2003-05-16 00:00:00

Read, William

Vancouver WA

Allegation: Unregistered securities; Unregistered agent; Misrepresentation and Omissions

Resolution: Cease and Desist Order issued and monetary penalty assessed.

Date of Order/Settlement: 2008-02-15 00:00:00

Scott, Machuta

Mount Pleasant MI Allegation: Not registered as a securities agent in Iowa; Sold investments/promissory notes not registered as securities in Iowa. Resolution: Order: Cease and desist acting as an agent in Iowa without registration; cease and desist the orffer or sale of unregistered and non exempt securities in Iowa. Date of Order/Settlement: 2004-06-10 00:00:00

Lacona, Christopher D. 59366

Carlisle IA

Allegation: Failure to notify Division of criminal violations on license application; failure to cooperate with a Division investigation;

Resolution: Consent signed: License suspended for 30 days; $250 Fine;

Date of Order/Settlement: 2005-07-13 00:00:00

Huff Jr., Roland L. 58942

Des Moines IA

Allegation: Misappropriation; refusal to cooperate; lack of character.

Resolution: Consent signed: License revocation.

Date of Order/Settlement: 2002-03-25 00:00:00

Steckis, William

Omaha NE

Allegation: Failure to report other states action.

Resolution: Cease & Desist from violations and monetary penalty.

Date of Order/Settlement: 2007-03-07 00:00:00

Neighbor, Eldon L. 58829

Alburnett IA

Allegation: Permitted unlicensed person to sell commercial policies;

Resolution: Consent signed: License suspended for 30 days; 1 year probation ending 1 year from the end of suspension; Pay $5368.50 fine; Pay $500 Costs; Confirm with policyholders policy meets their needs; pay any additional premiums needed.

Date of Order/Settlement: 2003-10-24 00:00:00

NevadaCare d/b/a Iowa Health Solutions Inc

Las Vegas NV

Allegation: Failure or refusal to submit to a peer review; Fail to file or properly complete an application foe renewal of cert of authority; Fail to file or complete a premium tax return

Resolution: Order and Consent to Order issued. NevadaCare will voluntarily withdraw its registration and not transact or solicit business in the state for a period of 5 years.

Date of Order/Settlement: 2008-10-31 00:00:00

Learn Waterhouse Inc

Edinburg TX

Allegation: Unregistered Securities; Unregisterd Agent material misrepresentations and omissions

Resolution: Order: Cease and desist the offer or sal of unregisterd non exempt securities; cease and desist acting as an agent without registration; making misrepresentations and omissions of material facts;

Date of Order/Settlement: 2004-10-04 00:00:00

Goff, John 59397

Pike Road AL Allegation: Failure to notify of other state's action Resolution: Order; License revoked $250 fine Date of Order/Settlement: 2005-12-22 00:00:00

Denney, Janis I. 59676

Mount Ayr IA

Allegation: Misappropriation of premiums

Resolution: Consent: License revocation; cooperate with the IID investigation

Date of Order/Settlement: 2003-01-16 00:00:00

Bronfman, Aharon

South San Francisco CA

Allegation: Unlicensed Investment Advisor and Representative; Misrepresentations and Omissions.

Resolution: Cease & Desist order issued and a monetary penalty assessed.

Date of Order/Settlement: 2007-08-13 00:00:00

Barnett, Kevin

Louis MO

Allegation: Unregistered agent; Unregistered Securities; Omissions and Misrepresentations.

Resolution: Cease and Desist Order issued and a monetary penalty assessed.

Date of Order/Settlement: 2007-09-24 00:00:00

OConnor Jr., Jerome J.

Omaha NE

Allegation: Failure to comply with previous order

Resolution: Consent Signed: Agreed to continue suspension of non resident license pending compliance with previous order

Date of Order/Settlement: 2004-04-01 00:00:00

Christian, Crystal 58178

Colorado Springs CO

Allegation: Failure to disclose information on license application; Failure to notify Division of prior actions.

Resolution: Order signed: License revoked; Pay $500 fine before license may be restored.

Date of Order/Settlement: 2005-04-18 00:00:00

General Casualty Company of Wisconsin 59466

Sun Prairie WI

Allegation: Failure to respond

Resolution: Consent Signed: Respond to Division inquiries; $500 Fine; $100 Costs

Date of Order/Settlement: 2001-09-25 00:00:00

Kemper, Daniel

Hallsville MO

Allegation: Misleading sales presentations; Misrepresenting the terms of a contract; demonstrating incompetence in the conduct of business; Failing to cooperate with an investigation.

Resolution: Default decision issued and license revoked.

Date of Order/Settlement: 2009-09-29 00:00:00

McCaa, Pam

Brownsville TX

Allegation: Unregistered securities agent; Solicited and sold unregistered securities in Iowa; and ommissions.

Resolution: Cease and Desist Order.

Date of Order/Settlement: 2006-11-13 00:00:00

Behnkendorf, Gerald D.

Algona IA

Allegation: Unfair trade practices misrepresentation

Resolution: Consent signed: Cease and desist from further violations; 2 years probation; Report all consumer complaints against him within 30 days; Pay $5000 Costs.

Date of Order/Settlement: 2003-06-30 00:00:00

Morgan Stanley & Co. Inc

New York NY

Allegation: Sale of Unregistered Securities

Resolution: Findings of Fact Conclusions of Law Consent Order issued and a monetary penalty assessed.

Date of Order/Settlement: 2008-05-06 00:00:00

Mauro, Daniel E. 58007

Des Moines IA

Allegation: Requested an administrative hearing for non-renewal of license.

Resolution: Order: Commissioners denial of application for licensure upheld

Date of Order/Settlement: 2004-07-21 00:00:00

Insurance Corporation of New York 58637

New York NY

Allegation: Failure to comply with Iowa minimum capital and surplus requirements

Resolution: Order: Certificate of Authority suspended

Date of Order/Settlement: 2005-08-22 00:00:00

Conseco Annuity Assurance Company 58369

Carmel IN

Allegation: Failure to respond to IID inquiry

Resolution: Consent Signed: Respond to IID; Pay $500 Fine and $100 Costs

Date of Order/Settlement: 2002-07-10 00:00:00

Lueders, Christine

Deer Park IL

Allegation: Surplus Violations.

Resolution: Consent Order signed and civil penalty assessed.

Date of Order/Settlement: 2007-05-10 00:00:00

Middleton, Denyce

Waterloo IA

Allegation: Criminal action prior to licensure

Resolution: Consent signed: Probationary license issued 1 year probation subject to supervision; issue quarterly reports to Division regarding work

Date of Order/Settlement: 2004-01-08 00:00:00

Seibald, Jack

Hewlett Harbor NY

Allegation: Prior regulatory action

Resolution: Summary Order Denying Application for Securities Agent License.

Date of Order/Settlement: 2009-02-06 00:00:00

United Fire & Casualty Company

Cedar Rapids IA

Allegation: Failure to report dividends

Resolution: Consent: Report dividends as directed; submit schedule; pay $1000 fine; $500 Costs

Date of Order/Settlement: 2006-02-17 00:00:00

Buchholz, Barry L. 59306

Cedar Rapids IA

Allegation: Replacement violations

Resolution: Consent signed: Cease and desist violating replacement laws and regulations: pay $2000 Civil Penalty; $500 Costs

Date of Order/Settlement: 2003-03-11 00:00:00

Ege Jr., John

Cherokee IA

Allegation: Failure to report criminal charges

Resolution: Order and Consent to Order civil penalty and costs assessed.

Date of Order/Settlement: 2006-07-24 00:00:00

Revland, Markis K. 59314

Arnolds Park IA

Allegation: Sale of unregistered securities and/or business opportunities

Resolution: Consent signed: 2 yr probation; repay all commissions and/or finders fees of $19460; repay investors a prorata portion; pay $1000 administrative penalty; sell only approved insurance products.

Date of Order/Settlement: 2003-04-02 00:00:00

Lindsey, Maryo

Waterloo IA

Allegation: Child Support Violation

Resolution: Order for Suspension issued.

Date of Order/Settlement: 2007-12-30 00:00:00

Schlitter, Travis P. 58008

Davenport IA

Allegation: Failure to pay child support

Resolution: License Suspended

Date of Order/Settlement: 2004-05-12 00:00:00

Harden, Tony L. 58126

Tampa FL

Allegation: Failure to notify Division of prior actions

Resolution: Order: License revoked; $500 Fine; $200 Costs

Date of Order/Settlement: 2005-05-23 00:00:00

Nunnikhoven, Carl F. 59731

Oskaloosa IA

Allegation: Replacement violations

Resolution: Consent Signed: 1 yr probation; $750 Fine; $250 Costs

Date of Order/Settlement: 2002-01-17 00:00:00

Williams, Blair C.

Ankeny IA

Allegation: Failure to comply with Other State Agency - DHS; Non-compliance w/order of Child Support

Resolution: License suspended.

Date of Order/Settlement: 2007-01-24 00:00:00

Huebner, Daniel W. 58838

Grinnell IA

Allegation: Dishonest or unethical practices in the securities business.

Resolution: Consent: Revocation of securities agent license; Revocation of insurance producer license and permanently barred from reapplying for insurance producer license in Iowa.

Date of Order/Settlement: 2003-08-19 00:00:00

Stoner, Charles

Omaha NE

Allegation: sold insurance polices for a company not licensed to do business in Iowa.

Resolution: Consent Order issued and license revoked.

Date of Order/Settlement: 2008-07-21 00:00:00

Ritland, Karl Paul

Des Moines IA

Allegation: Unauthorized trades and use of discretionary power

Resolution: Consent: Securities license censured; 1 year probation; Pay $250 Fine and $250 Costs

Date of Order/Settlement: 2004-09-01 00:00:00

Geels, Marc A.

Sioux Center IA

Allegation: Advertising violations

Resolution: Consent signed: Cease and desist violations; Pay $500 Costs

Date of Order/Settlement: 2005-12-07 00:00:00

Applegate, William B. 59000

Leon IA

Allegation:

Resolution: Consent signed: Voluntary Suspension of license; Pay $400 Fine; $100 Costs

Date of Order/Settlement: 2002-09-10 00:00:00

Flattery, Edmond

Albia IA

Allegation: Criminal charges

Resolution: Order of Summary Suspension

Date of Order/Settlement: 2007-06-19 00:00:00

Citigroup Global Markets Inc 58412

New York NY

Allegation: Business practices allowed investment bankers inqppropriate influence over research analysts; allowed spinning inaccurate records as to IPO distributions

Resolution: Consent to order without admitting or denying; pay $1500000 Fine

Date of Order/Settlement: 2004-02-16 00:00:00

Barry, Joseph D. 57911

Adel IA

Allegation: Unlicensed producer

Resolution: Consent signed: Cease and Desist in the sale of insurance; agrees not to reapply for a license

Date of Order/Settlement: 2000-09-08 00:00:00

Woods, Jerald

Elizabethtown KY

Allegation: Sale of unregistered securities; Unregistered agent; Misrepresentations and Omissions.

Resolution: Cease & Desist Order issued.

Date of Order/Settlement: 2009-04-10 00:00:00

Healey, James J. 58474

Dubuque IA

Allegation: Sold unregistered securities without securities license.

Resolution: Consent signed: Cease and desist the offer or sale of securities without securities license; 2 year probation; pay $2000 civil penalty and costs;

Date of Order/Settlement: 2004-03-17 00:00:00

Corder, Sandy

Highland IN

Allegation: Failure to respond to Division inquiries; submitted insufficient funds check.

Resolution: Consent to Order: License revoked; Pay $100 costs and fines before reapplication for licensure in Iowa; Cease and desist any violation of Iowa insurance laws

Date of Order/Settlement: 2005-02-24 00:00:00

Murphy, Liliana 59541

San Antonio TX Allegation: Failure to notify of other state's actions; Failure to respond Resolution: Order signed: License revoked; $200 Fine; $100 Costs Date of Order/Settlement: 2001-05-31 00:00:00