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
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

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

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

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

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

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

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

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

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

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

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

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

Lindsey, Maryo

Waterloo IA

Allegation: Child Support Violation

Resolution: Order for Suspension issued.

Date of Order/Settlement: 2007-12-30 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

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

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

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

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

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

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

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

Flattery, Edmond

Albia IA

Allegation: Criminal charges

Resolution: Order of Summary Suspension

Date of Order/Settlement: 2007-06-19 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

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

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

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

Conoco Phillips Company

Houston TX

Allegation: Failure to provide current loss reserves for Iowa

Resolution: Consent Order issued and monetary penalty assessed.

Date of Order/Settlement: 2006-08-20 00:00:00

Pekin Insurance Company

Pekin IL

Allegation: Allowed business from agent not properly licensed.

Resolution: Order: Pay $3500 Fine; Pay $1500 Costs; contact policyholders; resolve any unmet policyholder needs with costs assess to the agents/agency with report to Division on resolutions with policyholders.

Date of Order/Settlement: 2004-06-22 00:00:00

International Marine Water Safety Foundation 58992

Blainville Quebec Canada

Allegation: Unauthorized insurance company

Resolution: Order for Default: Cease and Desist as an unauthorized insurer in Iowa; $50000 Fine

Date of Order/Settlement: 2002-05-01 00:00:00

Grismore Jr., David

Corydon IA

Allegation: Manipulated the insurance producer computer system in order to receive numerous policies for himself without paying.

Resolution: Consent Order issued and license revoked.

Date of Order/Settlement: 2008-03-17 00:00:00

Washington National Insurance Company

Carmel IN

Allegation: Failure to appoint insurance producers in Iowa

Resolution: Consent: Cease and desist failing to appoint producers; pay $4200 Fine and $1000 Costs

Date of Order/Settlement: 2005-07-26 00:00:00

Neighbor, Mark A. 58830

Alburnett IA

Allegation: Selling without proper license

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

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

Townsend, Patricia

Morton IL

Allegation: Sold policies during the time period that insurance producer license not renewed.

Resolution: Order and Consent to Order - Civil penalty and costs imposed.

Date of Order/Settlement: 2007-03-08 00:00:00

Cross, Scott K. 58065

Perry IA

Allegation: Improper withholding misappropriating or conversion of moneys; failure to cooperate with investigation by commissioner

Resolution: Order signed: License revoked

Date of Order/Settlement: 2004-10-05 00:00:00

Christian, Kevin M. 59663

Des Moines IA

Allegation: Failure to notify of other states actions; accepting insurance business from unlicensed persons;

Resolution: Consent Signed: 2 year license probation; Pay Reimbursement of $300; $500 Fine; Sales restrictions

Date of Order/Settlement: 2003-02-07 00:00:00

Church Life Insurance

New York NY

Allegation: Violation of Iowa Unauthorized Insurers Act.

Resolution: Consent issued and monetary penalty assessed.

Date of Order/Settlement: 2008-11-10 00:00:00

Hegedus, Margo 59393

Tampa FL 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

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

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

Growth Stock Guru

New York NY

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

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

Date of Order/Settlement: 2007-08-13 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

Christensen, Daniel J. 59300

Dubuque IA

Allegation: Failure to cooperate in an investigation

Resolution: Order: Insurance License suspended; $500 Fine; $100 Costs; respond to Division inquiry

Date of Order/Settlement: 2003-05-22 00:00:00

McNeal, Jeannie M.

Cedar Rapids IA

Allegation: Child Support Violation

Resolution: Order for Suspension issued.

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

McKenna, Todd J. 58125

West Des Moines

Allegation: Failure to notify Division of actions; Failure to cooperate with investigation

Resolution: Order signed: License revoked; Pay $500 F and $200 Costs

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

Union Security Life Insurance Company 58677

Atlanta GA

Allegation: Failure to cooperate with Commissioners investigation

Resolution: Consent signed: Provide requested information; Pay $500 Fine; Pay $100 Costs

Date of Order/Settlement: 2003-07-01 00:00:00

Sovia, Shannon

Atlantic IA

Allegation: Failure to pay state debt.

Resolution: Order for Suspension issued.

Date of Order/Settlement: 2009-10-05 00:00:00

Palmer, Linda

Renwick IA

Allegation: Unregistered Securities; Unregistered Agent; Unlicensed Investment Advisor and Misrepresentations.

Resolution: Proposed order granting entry of default judgment. Cease and Desist Order is hereby affirmed.

Date of Order/Settlement: 2006-11-16 00:00:00

Parks, Bruce D.

Burlington IA

Allegation: Sale of unregistered securities and/or unregistered business opportunities without proper licensure.

Resolution: Consent signed: Iowa insurance license permanently revoked; cease and desist participating in any activiites that require an insurance license and sale of unregistered securities and/or business opportunities in Iowa.

Date of Order/Settlement: 2004-07-22 00:00:00