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 |
|---|---|---|---|---|---|
| Ronnfeldt, Gary B. | 58627 |
Miles IA Allegation: Misappropriation of premiums; converted funds to personal use Resolution: Consent signed: License permanently revoked. Date of Order/Settlement: 2004-02-06 00:00:00 |
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| Tapken, John |
Marion IA Allegation: Issued retroactive coverage and forged client signatures. Resolution: Consent Order signed and civil penalty assessed. Date of Order/Settlement: 2007-07-24 00:00:00 |
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| Knutson, Randy G. | 58080 |
Ankeny IA Allegation: Forgery Resolution: 1 yr probation; $1500 fine; Cease & Desist from signing customers names on insurance documents Date of Order/Settlement: 2004-12-17 00:00:00 |
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| Christensen Jr., Robert A. | 59340 |
Atlantic IA Allegation: Violation of Commissioners Order; Dishonest practices and incompetence; Failure to inform of address change Resolution: Order: License revoked Date of Order/Settlement: 2003-03-21 00:00:00 |
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| Knall, David Wells |
Indianapolis IN Allegation: Summary Order Denying Application for Securities Agent License Resolution: Order Vacating Denial of Securities Agent License Date of Order/Settlement: 2009-06-15 00:00:00 |
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| Mize, Lisa |
Summersville WV Allegation: Failure to respond. Resolution: Order - License revoked. Date of Order/Settlement: 2006-08-18 00:00:00 |
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| Bates, David | 58019 |
Barnum IA Allegation: Acting as unregistered securities agent Resolution: Order: Cease and desist acting as a securities agent without registration. Date of Order/Settlement: 2004-04-20 00:00:00 |
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| Lincoln Benefit Life Company | 58941 |
Northbrook IL Allegation: Failure to respond to Division inquiry Resolution: Consent Signed: Provide a response; $500 Fine; $100 Costs Date of Order/Settlement: 2001-10-23 00:00:00 |
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| Ahlf, Johnathan |
Muscatine IA Allegation: Reconsideration of license revocation. Resolution: Decision issued affirming the Divisions decision to deny Ahlfs resident producer license. Date of Order/Settlement: 2008-01-29 00:00:00 |
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| Centre Life Insurance Company | 58494 |
New York NY Allegation: Failure to respond to Divisions inquiry Resolution: Consent: Provide substantive response; Pay $1000 costs Date of Order/Settlement: 2004-05-18 00:00:00 |
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| Continental Casualty Company | 59733 |
Chicago IL Allegation: Failure to respond to Division inquiry Resolution: Consent signed: Respond to inquiry; $500 Fine; $100 Costs Date of Order/Settlement: 2002-02-20 00:00:00 |
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| National Union Fire Insurance Company of Pittsburgh PA. |
New York NY Allegation: Violation of Claims - Prompt payment of claims. Resolution: Consent Order issued; penalty assessed and ordered to pay 10% interest to insured for period beginning June 24 2007 thru October 11 2007. Date of Order/Settlement: 2008-04-23 00:00:00 |
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| Gallegos, Marie E. |
Amarillo TX Allegation: Failure to report other states actions; failure to cooperate with investigation Resolution: Order: License revoked; pay $500 Fine and $200 Costs Date of Order/Settlement: 2005-08-12 00:00:00 |
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| Winders, Timothy P. | 58747 |
Sioux City IA Allegation: Improper offer and sale of annuity contract Resolution: Consent signed: 2 yrs probation; Cease and Desist from further violations; Report all consumer complaints to the Insurance Division within 30 days. Date of Order/Settlement: 2003-09-19 00:00:00 |
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| Schadt, Adam |
Green Bay WI Allegation: Failure to respond Resolution: Default decision - Revoked producer license; Civil penalty of $500 and Costs of $250. Date of Order/Settlement: 2007-04-03 00:00:00 |
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| Larpenter, Mike | 58091 |
Des Moines IA Allegation: Offered and sold unregistered securities (promisary notes); misrepresented material facts; omitted material facts. Resolution: Cease and desist ordering hald sales and offers to sell securities; misrepresentation and omission of material facts in the offer and selling of securities; Cease and desist acting as agents while unregistered Date of Order/Settlement: 2004-09-17 00:00:00 |
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| Ferguson, Bethany L. |
Fredericksburg VA Allegation: Failure to notify IID of other states actions Resolution: Order issued: License suspended; Pay $250 Fine; $100 Costs; Give complete information as requested. Date of Order/Settlement: 2002-11-04 00:00:00 |
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| Scarborough, Joseph Michael |
Prince Frederick MD Allegation: Prior regulatory action Resolution: Summary Order Denying Application for Securities Agent License. Date of Order/Settlement: 2009-01-14 00:00:00 |
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| Binstock, Julie | 58585 |
Marshalltown IA Allegation: Sale of unregistered securities; misrepresentations omissions Resolution: Order: Cease and desist the offer or sale of unregistered securities acting as unregistered agents; making untrue statements of facts omitting material facts; pay $5000 fine Date of Order/Settlement: 2006-02-01 00:00:00 |
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| Lavin, Larry | 58472 |
Milford IA Allegation: Violation of previous order Resolution: License suspended Date of Order/Settlement: 2004-02-26 00:00:00 |
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| Spencer, Robert O. | 58981 |
Allegation: Replacement violations; suitability sales Resolution: Consent signed: 2 yrs probation; $500 Costs; reimburse client surrender charges Date of Order/Settlement: 2001-02-28 00:00:00 |
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| Avera Health Plans Inc |
Sioux Falls SD Allegation: Avera had not filed a sample notification of a members right to have an external review following a claim denial. Resolution: Consent Order signed and monetary fines and costs assessed. Date of Order/Settlement: 2007-09-11 00:00:00 |
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| Mankamyer, Michele L. | 58137 |
Lake Worth FL Allegation: Providing incorrect or incomplete information on license application; failure to notify Division of prior actions Resolution: Order: License revoked; pay $500 fine before license may be restored Date of Order/Settlement: 2005-03-24 00:00:00 |
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| Zimmerman, Jamie A. | 58873 |
West Branch IA Allegation: Conversion of client funds Resolution: Consent signed: Revocation of Securities agent license and permanently barred from reapplying effective 1/13/03; Revocation of insurance producer license and permanently barred from reapplying effective 4/25/03 Date of Order/Settlement: 2003-04-25 00:00:00 |
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| All American Homes of Iowa LLC |
Middlebury IN Allegation: Failed to timely file Resolution: Consent Order issued and monetary penalty assessed. Date of Order/Settlement: 2009-08-13 00:00:00 |
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| Lindsey, Victor |
Torrance CA Allegation: Failure to Respond. Resolution: License Revoked. Date of Order/Settlement: 2006-11-01 00:00:00 |
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| Frey, Terry G. |
Cedar Rapids IA Allegation: Violation of unfair trade practices Resolution: Consent signed: Insurance license surrentered and made inactive pending resolution of the statement of charges; shall not sell solicit or negotiate insurance in Iowa until such time if any license is reactivated Date of Order/Settlement: 2003-06-10 00:00:00 |
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| Goodwin, Roger Duane |
West Des Moines IA Allegation: Advertising violation Sales presentations violations and unlicensed activity. Resolution: Consent signed; Fine $15000; agreement to not engage in business of insurance for 90 days; Quarterly reports and 1 yr probation. Date of Order/Settlement: 2007-01-03 00:00:00 |
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| Fischer, Barbara Jean (Hatinger) |
Cedar Falls IA Allegation: Sold unregistered securities; acted as an unregistered agent; misrepresented and omitted material facts. Resolution: Consent: Cease and desist the offer or sale of unregistered securities; acting as an agent without registration; making untrue statement of material facts; omitting material facts in the sale of securities assessed $4000 Fine and $100 Costs. Date of Order/Settlement: 2004-07-02 00:00:00 |
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| Mohr, Mandy | 59592 |
Loves Park IL Allegation: Failure to respond Resolution: Order Signed: License Suspended; $250 Fine; $100 Costs; Respond to Division inquiry Date of Order/Settlement: 2002-06-11 00:00:00 |
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| Victoria Automobile Insurance Company |
Cleveland OH Allegation: Failure to respond Resolution: Consent Order issued and penalty assessed Date of Order/Settlement: 2008-06-24 00:00:00 |
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| Beltramea, Randy L. |
Mt. Vernon IA Allegation: Failure to notify of administrative action Resolution: Order: Insurance License revoked. Date of Order/Settlement: 2005-10-06 00:00:00 |
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| Jennings, Geoffrey A. | 59329 |
Council Bluffs IA Allegation: Sold unregistered securities or business opportunities without proper licensure; failed to disclose criminal actions; violation of 18 U.S.C. section 1033; misappropriating funds or borrowing from clients after representing he was not. Resolution: Order 9/15/03: License suspended; cease and desist from doing any insurance business in Iowa. Order dated 12/5/03: License permanently revoked; Cease and desist from offer and sale of unregistered securities and without proper securities license. Date of Order/Settlement: 2003-12-05 00:00:00 |
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| Davis, Carl |
West Des Moines IA Allegation: Advertising Violations Resolution: Order and Consent to Order - placed on probation for a period of six months; Civil penalty and costs imposed. Date of Order/Settlement: 2007-05-29 00:00:00 |
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| Provident Life and Casualty Insurance Company | 58135 |
Chattanooga TN Allegation: Multi State Market Conduct Exam for individual and group long term disability income claim handling practices. Resolution: Agreement: Implement changes in corporate governance; implement the Claim Reassessment Process; Provide initial notice to specified claimants; conduct employee training; pay fine to be allocated to participating regulators. Date of Order/Settlement: 2004-11-18 00:00:00 |
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| Priest, Harry A. | 59336 |
Avoca IA Allegation: Sale of unregistered securities and/or business opportunities Resolution: Consent signed: 1 yr probation; restitution to investors of $8400; sell only approved insurance or securities products. Date of Order/Settlement: 2003-02-10 00:00:00 |
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| Farmers Insurance Company |
Allegation: Failed to properly inform the claimant of the status of her claim and to verify whether another insurance carrier was actually responsible for the handling of the claim. Resolution: Order and Consent to Order issued and monetary penalty assessed. Date of Order/Settlement: 2009-03-23 00:00:00 |
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| Brean Murray Carret & Company LLC |
New York NY Allegation: Failure to file audited financial report. Resolution: Broker dealer license is suspended; civil penalty $1000; suspension lifted when compliance is complete. Date of Order/Settlement: 2006-05-26 00:00:00 |
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| Sensor, Edward L. |
Sterling IL Allegation: Unlicensed insurance producer; twisting; misrepresentations;suitability; personal loan; lack of character and competence; Resolution: Cease and Desist Order: the offer or sale of unregistered securities; lending or borrowing money or securities from an unrelated customer; making untrue statements of material facts; omission of material facts; $5000 Fine. Date of Order/Settlement: 2004-03-30 00:00:00 |
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| Pleggenkuhle, Jason E. | 59446 |
Des Moines IA Allegation: Failure to notify of other administrative action Resolution: Consent Signed: Permanent License revocation Date of Order/Settlement: 2001-07-10 00:00:00 |
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| Johnson, Donald E. |
Eldon MO Allegation: Unregistered Securities and agent; misrepresentations and Omissions. Resolution: Cease and Desist Order issued and monetary penalty assessed. Date of Order/Settlement: 2007-10-25 00:00:00 |
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| Thomas Weisel Partners LLC | 58660 |
San Francisco CA Allegation: Analyst conflict of interest case; ratings were tilted toward "buy" and "strong buy" analyst considered banking business in determining recommendations analysts compensation was tied to success in generating business. Resolution: Without admitting or denying findings of fact and conclusions of law TWP is ordered to cease and desist violations of the Iowa Uniform Securities Act consents to several undertakings and pay fine of $50000. Date of Order/Settlement: 2005-05-10 00:00:00 |
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| Sayre, Robert C. | 58157 |
Anamosa IA Allegation: Failure to disclose prior actions on application; failure to notify Division of prior actions; revocation of license by another state; failure to cooperate with investigation Resolution: Order: License revoked; pay $250 Fine and provide explanation to inquiries before license is restored. Date of Order/Settlement: 2005-07-01 00:00:00 |
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| Johnson, Daniel H | 58683 |
Chariton IA Allegation: Violation of Commissioners Order; Dishonest Practices and Incompetence Resolution: Order: Insurance producer license suspended indefinitely; Suspension not lifted until the obligations are current or otherwise resolved. Date of Order/Settlement: 2003-07-23 00:00:00 |
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| Larson, Pamela |
Clear Lake IA Allegation: Issued fraudulent insurance cards issued retroactive coverage and committed fraud. Resolution: Order & Consent to Order - 60 day suspension civil penalty and costs assessed. Date of Order/Settlement: 2007-02-23 00:00:00 |
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| Cooper, Byron D. | 59331 |
Cedar Rapids IA Allegation: Unlicensed to sell securities; Sale of alleged investments in unregistered securities promissory notes Resolution: Consent signed: Cease and desist sale or offer to sell securities without a securities license; 2 years probation; $5000 civil penalty. Date of Order/Settlement: 2004-08-11 00:00:00 |
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| Frederick, Ronald D. | 59597 |
Alta IA Allegation: Failure to respond to IID inquiry; Resolution: Consent Signed: Cease and Desits from failing to respond to IID; $600 Costs Date of Order/Settlement: 2002-08-01 00:00:00 |
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| Vedovino, John |
Pompton Plains NJ Allegation: Violation of NYSE rules Resolution: Consent Order issued and suspension of securities license that shall run concurrent to the NYSE suspension. Date of Order/Settlement: 2008-09-25 00:00:00 |
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| Ray Jr., Rayna | 58582 |
San Francisco CA 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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| Opheim, James H. | 58418 |
Spencer IA Allegation: Completed life applications without the proposed insureds knowledge; allowed third party to sign the applicants names without authorization. Resolution: Consent signed: 1 yr probation; Pay $750 Fine; Pay $250 Costs; Cease and desist from allegations; report administrative actions within 30 days to the Ins. Div. Date of Order/Settlement: 2004-02-10 00:00:00 |