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
Nutrition and Wellness Research Institute Inc (NWRI)

Evansdale IA

Allegation: Misrepresentation; sale of unregistered non exempt securities; employing unregistered agents; made untrue statements of material facts; omissions of material facts in the sale.

Resolution: Orders: Cease and desist the offer or sale of unregistered non exempt securities employing unregistered agents to solicit in Iowa making untrue statements of material facts; omission of material facts.

Date of Order/Settlement: 2004-07-01 00:00:00

Privolos, George T. 59368

Bloomington IL

Allegation: Provided incorrect information on license application

Resolution: Order: License revoked; Pay $500 Fine and $200 Costs before relicensure

Date of Order/Settlement: 2005-07-29 00:00:00

Lenz, Nathaniel A. 59584

Urbandale IA

Allegation: Marketing and sales violations

Resolution: Consent Signed: 2 years probation; Cease and Desist from violations; Pay $1000 Costs

Date of Order/Settlement: 2002-05-10 00:00:00

Success Trust and Holding LLC

Simpsonville SC

Allegation: Sale of unregistered security.

Resolution: Cease and Desist Order issued.

Date of Order/Settlement: 2007-03-15 00:00:00

Frey, Terry G. 59337

Cedar Rapids IA

Allegation: Failure to comply with Order and Consent to Order to surrender license

Resolution: Order: license suspended pending resolution of administrative action

Date of Order/Settlement: 2003-12-03 00:00:00

Whitinger, Trent

Fairfax IA

Allegation: Falsified coverage

Resolution: Consent Order issued suspending insurance producer license for 180 days and imposed a civil penalty.

Date of Order/Settlement: 2008-12-31 00:00:00

Wilhelmson, Steven C. 58046

Warr Acres OK

Allegation: Providing incorrect information in license application; revocation of license by another state; failure to notify Division of prior actions.

Resolution: Order signed: License revoked

Date of Order/Settlement: 2004-10-08 00:00:00

Artz, Scott 59395

Sarasota FL

Allegation: Failure to notify of other states action

Resolution: Order; License revoked; $250 fine

Date of Order/Settlement: 2005-12-22 00:00:00

Barnett, Robert R. 59332

Salem IA

Allegation: Sale of unregistered securities and/or unregistered business opportunities

Resolution: Consent signed: 1 yr. probation; repay all commissions and/or finders fee payments $1400.

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

Moscoso, Luis

Dubuque IA

Allegation: Unauthorized Insurer; Failure to disclose to policyholders that NFA is not a tax exempt organization; Misleading sales presentations; Unlawful solicitation of insurance business; Unsuitable transactions or recommendations.

Resolution: Consent Order signed: Insurance producer license is revoked and is permanently barred from reapplying for insurance license or applying for a securities agent license or investment advisor representative license.

Date of Order/Settlement: 2007-08-21 00:00:00

Rhynsburger, Ronald J. 59341

Sioux City IA

Allegation: Failure to cooperate

Resolution: Order: License suspended until response received; Pay $500 Fine.

Date of Order/Settlement: 2003-03-20 00:00:00

Yamada, Judy Ann

Harlan IA

Allegation: Failure to disclose criminal convictions on appl. For licensure.

Resolution: Consent signed & monetary penalty assessed.

Date of Order/Settlement: 2007-10-15 00:00:00

Stevens, Mike 58018

Eagle Grove 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

Augustine, Amanda 58630

Streator IL

Allegation: Failure to notify Division of prior actions

Resolution: Order: License revoked; pay Fine of $500 and Costs of $200 before relicensure.

Date of Order/Settlement: 2005-04-27 00:00:00

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

Smith, Douglas

Ankeny IA

Allegation: Misrepresentation; Replacement violation

Resolution: Decision - 2 yr probation; 30 day suspension; Civil penalty assessed.

Date of Order/Settlement: 2006-12-20 00:00:00

Schatz, Kenneth C. 58835

Sioux City IA

Allegation: Violation of previous order

Resolution: Consent:License revoked

Date of Order/Settlement: 2003-07-16 00:00:00

Grosvenor, Maria

Riverview FL

Allegation: Failure to disclose a criminal conviction on license application.

Resolution: Consent Order issued and a monetary penalty assessed.

Date of Order/Settlement: 2008-05-20 00:00:00

Silva Shea

Santa Ana CA

Allegation: Sale of unregistered securities by an unregistered agent

Resolution: Order: Cease and desist of sale or offer of sale of unregistered securities in Iowa

Date of Order/Settlement: 2004-08-06 00:00:00

Northrop, Kenneth

Floyd IA

Allegation: Named as a beneficiary on a policy of an unrelated policyholder

Resolution: Consent: Cease and desist violation; 1 year probation; repay to the estate the amount received

Date of Order/Settlement: 2005-09-12 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

Duffin, Richard

Lehi UT

Allegation: Unregistered investment advisor and representative.

Resolution: Consent Order signed and civil penalty assessed.

Date of Order/Settlement: 2007-05-29 00:00:00

Strohmeier, Gretchen A. 59071

Springboro OH

Allegation: Selling annuity insurance policies in Iowa without a license in December 1994 and February 1995.

Resolution: Consent signed: Pay $1100 Fine; Have active nonresident Iowa license before selling in Iowa; Report any administrative action taken within 30 days.

Date of Order/Settlement: 2004-02-05 00:00:00

Moffitt, Joann M.

Olathe KS

Allegation: Misappropriating monies; using fraudulent coercive or dishonest practices in the conduct of business; demonstrating incompetence untrustworthiness or financial irresponsibility in the conduct of business.

Resolution: Order issued and a consent order issued revoking insurance producer license.

Date of Order/Settlement: 2009-03-04 00:00:00

Flowers, Larry W.

Gainsville GA

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

Resolution: License revoked.

Date of Order/Settlement: 2006-03-22 00:00:00

Cillo, Mark

Saint Louis MO

Allegation: Misrepresentation

Resolution: Order Vacating Summary Cease and Desist Order

Date of Order/Settlement: 2009-05-27 00:00:00

Stabile, Timothy

Ottumwa IA

Allegation: Stabile improperly withheld misappropriated or converted moneys received in the course of doing business.

Resolution: Order & Consent to Order - permanently barred from reapplying for an insurance producer license in Iowa and also permanently barred from reapplying for a securities agent license in Iowa.

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

Fagan, Robert Shaun 58685

Kansas City MO

Allegation: Misrepresentations in insurance applications

Resolution: Order: License suspended; Pay $500 Fine

Date of Order/Settlement: 2003-04-17 00:00:00

Maytag Corporation

Benton Harbor MI

Allegation: Failure to timely file and failure to respond.

Resolution: Consent Order issued and monetary penalty assessed.

Date of Order/Settlement: 2008-01-16 00:00:00

Royal Indemnity Company 58489

Charlotte NC

Allegation: Failure to respond to Division request for information

Resolution: Consent signed: Provide substantive response to Divisions inquiry; Pay $500 Costs

Date of Order/Settlement: 2004-05-14 00:00:00

Praul, Allen D. 58123

Bettendorf IA

Allegation: Sale of unregistered securities; omitting material facts/ information; misstatements of material facts; practice to defraud; unregistered as a securities agent; unsuitable sales; exerted undue influence over clients.

Resolution: Consent signed: insurance license revoked; permanently barred from reapplying; permanently barred from applying for securities license.

Date of Order/Settlement: 2005-06-21 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

(The) Just Foundation

Tarpon Springs FL

Allegation: Unregistered securities Unregistered agents Ommissions and Misrepresentations.

Resolution: Order and Consent to Order signed. Civil penalty imposed in Cease & Desist is vacated.

Date of Order/Settlement: 2007-02-07 00:00:00

Lauer, Gordon A. 58824

West Union IA

Allegation: Conviction of a felony

Resolution: Consent signed: License revoked permanently and forevermore

Date of Order/Settlement: 2003-09-19 00:00:00

Whirlpool Corporation

Benton Harbor MI

Allegation: Failure to timely file renewal.

Resolution: Consent Order issued and monetary penalty assessed.

Date of Order/Settlement: 2008-08-13 00:00:00

Larpenter, Patricia 58092

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

Newkirk, Timothy 59396

De Pere WI 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

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

Tallett, David

Cedar Rapids IA

Allegation: Advertising Violation

Resolution: Consent Order signed. Civil penalty assessed.

Date of Order/Settlement: 2007-07-19 00:00:00

Evanovich, Roy 58420

Washington IA

Allegation: Unregistered securities agent; offer to sell and sold unregistered securities; fraudulent practices.

Resolution: Order: Cease & desist offering or selling any security in this state unless the security is registered or exempt; Cease & desist transacting business as a securities agent in this state; Cease & desist engaging in fraudulent practices

Date of Order/Settlement: 2004-02-26 00:00:00

Riley, Dennis E.

Cedar Falls IA

Allegation: False statements and entries misrepresentation by producer on insurance application; omission of producers name on application; dishonesty.

Resolution: Consent signed: Cease and desist violation; license suspended for 30 days; after suspension 2 year probation; complete CE ethics class; send copies of any complaints to Division within 30 days of receipt; pay $13000 fine and costs.

Date of Order/Settlement: 2004-12-09 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

Nielsen, Nancy

Marcus IA

Allegation: Incorrectly completed a policy application and failed to execute the policyholders intentions.

Resolution: Consent Order signed and civil penalty assessed.

Date of Order/Settlement: 2007-08-28 00:00:00

Evanovich, Roy A.

Washington IA

Allegation: Violation of law regulation or order of the commissioner; misappropriation; unfair insurance trade practices; failure to cooperate in investigation.

Resolution: Consent signed: Insurance license revoked; Pay $2500 Costs

Date of Order/Settlement: 2004-03-23 00:00:00

Praul, Allen D. 58123

Bettendorf IA

Allegation: Unregistered securities agent; Selling unregistered securities; Misrepresentations and omissions in the sale of securities

Resolution: Cease and desist order in the sale of unregistered securities by an unregistered agent

Date of Order/Settlement: 2005-03-22 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

Stephen, Wiley

St. Louis Missouri

Allegation: Unlicensed agent

Resolution: Summary Cease and Desist Order issued

Date of Order/Settlement: 2009-07-31 00:00:00

Arey, Chad

Des Moines IA

Allegation: Misrepresentation on license renewal application

Resolution: Order & Consent to Order; paid civil penalty and costs.

Date of Order/Settlement: 2006-10-09 00:00:00

Bankers Life and Casualty Company 58899

Chicago IL

Allegation: Advertising Violations

Resolution: Consent signed: Pay $9424 Fine; comply with Iowa advertising laws and regulations.

Date of Order/Settlement: 2003-06-02 00:00:00

Keener, Jon W.

LeClaire IA

Allegation: Child Supoort Violation

Resolution: Order for Suspension issued.

Date of Order/Settlement: 2008-04-21 00:00:00