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
Ross, Michael J. 58953

Hopkinton IA

Allegation: Improper Sales

Resolution: Consent Signed: Permanent license revocation

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

Halsband, Emily J.

Clive IA

Allegation: Conviction of two class "C" felonies

Resolution: Consent signed: Iowa insurance license revoked permanently; barred from reapplying for a securities license in Iowa

Date of Order/Settlement: 2004-03-31 00:00:00

National Foundation of America

Franklin TN

Allegation: Unauth Insurer; Fail to disclose to policyholders that NFA is not a tax exempt organization; Mislead sales presentations; False Advertising; Unlawful solicitation of insurance business; Unsuitable transactions or recommendations; Unreg securities.

Resolution: Consent Order signed; cease and desist violations.

Date of Order/Settlement: 2007-07-26 00:00:00

Deel, Stephanie J. 58128

Chesapeake VA

Allegation: Incorrect information on License application; 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

Behnkendorf, Gerald D. 58710

Algona IA

Allegation: Improper sales of insurance products

Resolution: Consent signed: Cease and desist from further violations; 2 years probation; report all consumer complaints to the Division within 30 days; pay $5000 costs.

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

Hammes, Kristina

North Liberty IA

Allegation: Failure to pay child support

Resolution: Order for Suspension issued.

Date of Order/Settlement: 2009-06-18 00:00:00

Tyson, Gene

North Liberty IA

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

Resolution: License suspended.

Date of Order/Settlement: 2007-01-18 00:00:00

Anderson, Paul A. 59598

Alta IA

Allegation: Failure to respond to IID inquiry; failure to remit premiums

Resolution: Consent Signed: License surrendered; cooperate with investigation.

Date of Order/Settlement: 2002-07-19 00:00:00

Spees, Lisa

Keokuk IA

Allegation: Using fraudulent or dishonest practices; failure to cooperate

Resolution: Order: License revoked

Date of Order/Settlement: 2004-07-15 00:00:00

Martin, Richard D.

Omaha NE

Allegation: Denial of Securities license.

Resolution: Consent signed and securities license issued with 2 year heightened supervision.

Date of Order/Settlement: 2008-01-29 00:00:00

Fyfe, James J.

Bettendorf IA

Allegation: Child Support Violation

Resolution: Order for Suspension issued

Date of Order/Settlement: 2008-04-24 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

Kolbe, Joseph R. 59227

Bradenton FL

Allegation: Unsuitable Sales & Twisting

Resolution: Consent signed: 2 yrs probation; $2500 Fine; $750 Costs

Date of Order/Settlement: 2001-02-28 00:00:00

Murphy, Michael S. 59073

Elizabeth City NC

Allegation: Violations of Iowa uniform Securities Act: Misrepresentations; Omissions

Resolution: Order: Cease and Desist making untrue statements of material facts in the offer or sale of securities; from omitting misleading material facts; assessed $10000 civil penalty.

Date of Order/Settlement: 2004-02-12 00:00:00

Custom Dollar Systems LLC 58149

Omaha NE

Allegation: Failure to register securities misrepresentation; omissions

Resolution: Order: Cease and desist the offer of sale of unregistered securities cease and desist acting as agents without registration employer unregistered agents to solicit making untrue statements of material; Pay $5000 fine.

Date of Order/Settlement: 2005-02-18 00:00:00

Lark, Dershaun A. 59347

Bellevue NE

Allegation: Failure to cooperate; failure to notify Division of prior action

Resolution: Order signed: License suspended until full response received

Date of Order/Settlement: 2003-03-27 00:00:00

Bergen, Bruce

Marion IA

Allegation: Failure to Respond to Division Inquiries

Resolution: Decision issued and a monetary penalty assessed.

Date of Order/Settlement: 2009-01-16 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

Huebner, Daniel W. 58752

Grinnell IA

Allegation: Replacement violations; receiving commissions without company appointment; Omissions from insurance applications

Resolution: Order: Cease and Desist from further violation; $800 Fine; $500 Costs

Date of Order/Settlement: 2002-02-15 00:00:00

Siebring, Gordon

Albion IA

Allegation: Sale of unregistered non exempt securities by an unregistered agent

Resolution: Cease and desist the offer or sale of unregistered and non-exempt securities in Iowa

Date of Order/Settlement: 2004-05-03 00:00:00

Coventry Health Care of Iowa

Urbandale IA

Allegation: Denial of coverage

Resolution: Decision rendered. Insurer hasnt sustained burden of poof. Cancellation not upheld and policy remains in force.

Date of Order/Settlement: 2007-09-12 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

Fritsch, DeAnn 58734

Neola IA

Allegation: Misappropriation

Resolution: Consent signed: Revocation of Iowa Producer License; permanently barred from reapplying for licensure in the Iowa

Date of Order/Settlement: 2003-08-01 00:00:00

Ball, Roger

Blair NE

Allegation: Failed to disclose previous administrative actions in his applications to become a non-resident Iowa Insurance producer.

Resolution: Consent Order issued and monetary penalty assessed.

Date of Order/Settlement: 2009-08-13 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

Lopez, Wilson Joseph 59001

Bellevue NE

Allegation: Other states action

Resolution: Consent Signed: 1 year Probationary license with life and health qualifications restrictions

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

Walker, Samuel W.

Waterloo IA

Allegation: Failure to disclose prior criminal convictions on license application

Resolution: Order signed: License revoked

Date of Order/Settlement: 2004-08-24 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

Golden American Life Insurance Company

West Chester PA

Allegation: Violations of right to return life insurance policy or annuity (free look).

Resolution: Consent: Refund to consumers of difference in premium; Pay $1000 Costs; Compliance.

Date of Order/Settlement: 2003-02-10 00:00:00

Chamley, Aaron

Van Wert IA

Allegation: Sold viatical settlement investment contracts while unregistered.

Resolution: Cease and desist issued to hald the sale of unregistered securities; cease and desist acting as unregistered agent

Date of Order/Settlement: 2004-09-20 00:00:00

Hawkeye Life Insurance Group

West Des Moines IA

Allegation: Failure to timely file annual audited reports.

Resolution: Consent Order issued and assessed a monetary penalty.

Date of Order/Settlement: 2008-07-02 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

Hrdlicka, Raymond W. 59295

Fremont CA Allegation: Failure to notify of other state's action Resolution: Consent Signed: License revoked for 10 years; $200 Fine; $100 Costs Date of Order/Settlement: 2001-07-10 00:00:00

Rose, Noel S.

Yuma AZ

Allegation: Failure to notify of revocation of license in two states

Resolution: Order: Permanent license revocation

Date of Order/Settlement: 2004-03-15 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

Bakken, Harlan T. 58879

Waukon IA

Allegation: Sale of unregistered securities and/or business opportunities

Resolution: Consent signed: 1 yr probation; repay all commissions and/or finders fees of $500; sell only approved insurance products.

Date of Order/Settlement: 2003-05-08 00:00:00

Balboa Insurance Company

Irvine CA

Allegation: Failure to promptly respond to inquiries from the Commissioner

Resolution: Consent Order issued and monetary penalty assessed.

Date of Order/Settlement: 2009-03-24 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

United American Insurance Company 59599

McKinney TX

Allegation: Market Conduct Exam

Resolution: Consent Signed: Implement procedures; $5000 Fine

Date of Order/Settlement: 2002-05-28 00:00:00

Sterling Blackthorn Inc

Mount Pleasant MI

Allegation: Selling/offering unregistered securities in Iowa.

Resolution: Order: Cease and desist the offer or sale of unregistered and non exempt securities in Iowa.

Date of Order/Settlement: 2004-06-10 00:00:00

Smith, Virginia E.

Harlan IA

Allegation: Failure to disclose criminal conviction.

Resolution: Consent Order signed and monetary penalty assessed.

Date of Order/Settlement: 2007-10-26 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

Eichelberger, Kraig R. 58827

Dysart IA

Allegation: Advertising violations

Resolution: Consent signed: Obey all Iowa insurance advertising regulations; 2 year probation; pay costs of $250.

Date of Order/Settlement: 2003-10-14 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

Ober, Dennis J. 59048

Des Moines IA

Allegation: Sale of unregistered securities and/or business opportunities

Resolution: Consent signed: License probation until 7/1/07; repay all commissions and/or finders fees of $41940; Pay $1000 Costs; sell only approved insurance and securities products.

Date of Order/Settlement: 2004-01-08 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

Gless, Richard E. 58077

Bettendorf IA

Allegation: Advertising violations; unsuitable sales; using unlicensed producers

Resolution: Consent signed: Use only company approved marketing materials; demonstrate suitablitity in sales; use licensed producers; 2 yrs probation; pay $750 Fine;

Date of Order/Settlement: 2004-11-19 00:00:00

Daugherty, Sandra J. 59304

Madrid IA

Allegation: Criminal complaints

Resolution: Consent signed: License revoked permanently

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

Svoboda, Steven

Washington IA

Allegation: Accepted money from clients that was intended for investment or savings purposes and converted those client funds for personal use.

Resolution: Order of Summary Revocation

Date of Order/Settlement: 2008-09-26 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