Enforcement Orders and Actions
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 | Enforcement Date Sort descending | Subject | Entity | Order |
|---|---|---|---|---|---|
| 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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| Rhone, Robert M. | 59594 | Mingo IA Allegation: Failure to submit premiums to ins. co.. Resolution: Consent Signed: License suspended: pay $800 Fine; $200 Costs; Maintain separate premium trust account. Date of Order/Settlement: 2002-05-09 00:00:00 |
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| 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 |
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| Lake, David L. | 59554 | Guthrie Center IA Allegation: Sold unregistered and non-exempt securities; failure to notify of change of address Resolution: Consent signed: Cease and Desist from solicitation of unlicensed insurance related products; 2 yr. probation; voluntary surrender of life and health qualifications; may retest after 2 yr; $2000 Costs; refund to clients $8759.23. Date of Order/Settlement: 2002-08-12 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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| Baxter, Raymond E. | 59305 | Ft. Madison IA Allegation: Sale of unregistered securities and/or unregistered business opportunities Resolution: Consent signed: 1 yr probation; repayment of commissions and finders fee payments $2695. Date of Order/Settlement: 2003-02-10 00:00:00 |
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| Moeller, Gregory M. | 59301 | Mount Pleasant IA Allegation: Sale of unregistered securities and/or business opportunities Resolution: Consent signed: 1 yr. probation; repay all commissions of $1400;sell only approved products. Date of Order/Settlement: 2003-03-12 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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| Flikeid, William E. | 58876 | Lakeville MN Allegation: Sale of unregistered securities and/or business opportunities Resolution: Consent signed: 1 yr probation; repay all commissions and/or finders fees of $5600; sell only approved insurance products. Date of Order/Settlement: 2003-04-25 00:00:00 |
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| Smith, Yusef D. | 58689 | Cedar Rapids IA Allegation: Application disclosures Resolution: Consent signed: Granted insurance license for health qualification with restrictions. Date of Order/Settlement: 2003-06-02 00:00:00 |
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| 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 |
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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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| White, Jon A. | 58727 | Iowa City IA Allegation: Failure to cooperate in an investigation by commissioner; Dishonest business practices. Resolution: Consent Signed: 1 yr. Probation; Follow Iowas statutory and administrative insurance sales requirements; Pay $250 costs. Date of Order/Settlement: 2003-09-19 00:00:00 |
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| 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 |
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| Andrews, Edgar Lee | 58409 | Des Moines IA Allegation: Unregistered securities agents; Selling unregistered securities; Resolution: Order: Cease & Desist the offer or sale of unregistered securities; cease & desist acting as agents without registration; shall not employ unregistered agents; shall not make untrue statements of material facts in the offer or sale of securities. Date of Order/Settlement: 2004-01-21 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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| Sell, Steven J. | 58419 | Omaha NE Allegation: Forgery of signature on a transfer document Resolution: Consent Signed: Cease & desist from violation of IA insurance or securities laws; 2 yr probation; 2 yr supervision and review; pay $1000 Fine and $250 Costs Date of Order/Settlement: 2004-02-27 00:00:00 |
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| Gibson, Roderick P. | 58624 | Helotes TX Allegation: Providing incorrect or incomplete information on application for licensure; Revocation of insurance license by another state; Failure to notify Division of prior actions Resolution: Order: Iowa insurance license permanently revoked Date of Order/Settlement: 2004-03-22 00:00:00 |
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| Engels, Constance D. | 58476 | Marble Rock IA Allegation: Unsuitable sales Resolution: Consent signed: 2 yrs probation; $500 F; document suitability for all new and replacement life insurance and annuity sales Date of Order/Settlement: 2004-04-02 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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| Blue Square Management Inc | New York NY Allegation: Not licensed as a broker-dealer or issuer to offer or sell securities in Iowa. Resolution: Order: Cease and desist the offer or sale of unregistered non exempt securities; employing non registered agents in Iowa; making untrue statements of material facts; omission of facts; pay $5000 fine; $1000 costs Date of Order/Settlement: 2004-05-19 00:00:00 |
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| 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 |
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| 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 |
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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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| Home Solutions Real Estate Investments Inc | 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 Date of Order/Settlement: 2004-09-17 00:00:00 |
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| 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 |
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| Gray, Jerome E. | 58078 | Omaha NE Allegation: Unfair methods of competition and unfair or deceptive acts or practices; replacement violations Resolution: Consent Signed: 1 yr probation; Pay $500 Fine and Costs; adhere to all insurance regulations Date of Order/Settlement: 2004-12-06 00:00:00 |
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| 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 |
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| Carmichael Jr., Arthur C. | 58577 | Los Altos CA Allegation: Failure to notify Divison of administrative action in another state. Resolution: Consent signed: Cease and desist from violations; pay $150 Fine and $100 Costs Date of Order/Settlement: 2005-03-25 00:00:00 |
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| Dasilva Jr., Walter C. | 58121 | Oklahoma City OK Allegation: Failure to notify Division of prior action. Resolution: Order: License revoked; Pay $500 Fine and $200 Costs before relicensure in Iowa Date of Order/Settlement: 2005-05-04 00:00:00 |
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| Acceptance Insurance Company | 58638 | Council Bluffs IA Allegation: Capital and surplus in violation of Iowa Code Resolution: Consent signed: Certificate of authority is suspended; company prohibited from writing or accepting new or renewal business; pay $500 costs. Date of Order/Settlement: 2005-06-16 00:00:00 |
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| 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 |
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| Miover, Peter E. | 58823 | Omaha NE Allegation: Forgery;fraud in withdrawing insurance producer license; failure to disclose termination by insurance company. Resolution: Order signed: License revoked; $500 fine and $200 costs; prohibited from reapplying for license for 6 months. Date of Order/Settlement: 2005-08-19 00:00:00 |
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| Dixon, William R. | 59391 | Apalachin NY Allegation: Failure to report another states administrative action Resolution: Consent signed: Cease and desist violations of Iowa insurance statutes and rules; pay $125 Fine and $125 Costs Date of Order/Settlement: 2005-09-23 00:00:00 |
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| Haley, Robert E. | 59376 | San Antonio TX Allegation: Failure to notify of other states actions Resolution: Order: License revoked. Date of Order/Settlement: 2005-12-19 00:00:00 |
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| 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 |
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| South Central Mutual Insurance Association | Chariton IA Allegation: Failure to respond Resolution: Consent; agrees to respond; Fine $1000 & Cost $500 paid. Date of Order/Settlement: 2006-02-17 00:00:00 |
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| Beck, Eric | Urbandale IA Allegation: Failure to respond to investigation Resolution: Order for Suspension of license Date of Order/Settlement: 2006-04-28 00:00:00 |
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| Hasan, L. Basheer | Des Moines IA Allegation: Acted as an unregistered securities agent and investment advisor Resolution: Order Agreement and Consent Order - Cease & Desist Date of Order/Settlement: 2006-08-03 00:00:00 |
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| 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 |
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| Klear Vu Kovers | Janesville IA Allegation: Unregistered securities; Unregistered agents and Ommissions. Resolution: Cease & Desist order issued. Date of Order/Settlement: 2006-11-08 00:00:00 |
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| Polcyn, James | Ft. Lauderdale FL Allegation: Unlicensed sale of Insurance. Resolution: Cease and Desist order; Civil penalty assessed. Date of Order/Settlement: 2006-12-28 00:00:00 |
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| Nelson, Judith | Tarpon Springs FL Allegation: Unregistered securities Unregistered agent 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 |
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| 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 |
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| Anderson, Thomas K. | Davenport IA Allegation: Failure to comply with Other State Agency - DHS; Non-compliance w/order of Child Support. Resolution: Iowa Insurance Producer License suspended. Date of Order/Settlement: 2007-04-23 00:00:00 |
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| Lincoln Benefit Life Company | Lincoln NE Allegation: Failure to cooperate in an investigation by the Commissioner. Resolution: Consent Order - Civil penalty and costs imposed and response received for the Divisions inquiries. Date of Order/Settlement: 2007-05-29 00:00:00 |
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| 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 |
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| International Paper | Memphis TN Allegation: Failed to file an application for renewal for Workers Compensation Self-Insurance program. Resolution: Consent Order signed and monetary penalty assessed. Date of Order/Settlement: 2007-08-18 00:00:00 |
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| Hartford Life Insurance Company | Simsbury CT Allegation: Failure to respond to two separate inquiries related to a complaint received by the Division. Resolution: Consent Order signed and a monetary penalty assessed. Date of Order/Settlement: 2007-09-17 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 |