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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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Fyfe, James J. |
Bettendorf IA Allegation: Child Support Violation Resolution: Order for Suspension issued Date of Order/Settlement: 2008-04-24 00:00:00 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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Flattery, Edmond |
Albia IA Allegation: Criminal charges Resolution: Order of Summary Suspension Date of Order/Settlement: 2007-06-19 00:00:00 |
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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 |
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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 |
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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 |
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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 |