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
Wolff, Wesley 70458 March 4, 2011 Insurance Producer

Rescission of Order

Flaherty, Dennis M. 68888 February 25, 2011 Insurance Public Adjuster

Order and Consent to Order

Rainey, Leland 65834 February 24, 2011 Insurance Unlicensed

Order and Consent to Order

Guttenberg Municipal Hospital 63066 February 23, 2011 Insurance

Dismissal; Proposed Decision

Holtsinger, John 70273 February 22, 2011 Securities Unlicensed

Cease and Desist Order; Proposed Decision

Schliemann, Justin 69795 February 14, 2011 Insurance Producer

Suspension Order

Budget Rent A Car of Iowa City 70056 February 7, 2011 Insurance Unlicensed

Order and Consent to Order

Feeck, Ryan 69614 February 3, 2011 Insurance Producer

Order and Consent to Order

Krier, Steven 69614 February 3, 2011 Insurance Producer

Order and Consent to Order

Blake, Michael 66623 February 1, 2011 Insurance Producer

Order for Suspension; Order Reinstating License After Suspension

Prosapia Financial LLC; Prosapia Capital Management LLC; Alan Lucas; Robyn Renee Palmer 68806 January 28, 2011 Securities Unlicensed

Cease and Desist Order; Proposed Decision

Howard, Dana 69735 January 18, 2011 Insurance

Order and Consent to Order

Nguyen, Alven 10DOCID023 October 14, 2010 Insurance Producer

 

Proposed Decision; Appeal Decision

Schroder, Mark A. 68752 September 30, 2010 Insurance Producer

Order for Suspension

Covenant Benefits, Inc. a/k/a Covenant Advisors and Noah James Aulwes a/k/a Tom Lee Aulwes a/k/a Thomas Lee Aulwes 66957 August 24, 2010 Securities, Insurance Investment Adviser Representative, Producer

Order and Consent to Order and Agreement 

Conseco Life Insurance Company May 28, 2010 Insurance Insurance Company

Regulatory Settlement Agreement

White, Jill 67013 April 12, 2010 Regulated Industries Preneed Sales Agent

Consent Order and Dismissal Order

Waters, Jason R. 50976 October 17, 2005 Insurance Producer

Order and Consent to Order

Thomas, Joyce B. 58862 August 16, 2005 Insurance Producer

Order & Consent to Order

Extraordinary Films aka Extraordinary Media Group Ltd April 27, 2004 Securities Unlicensed

 

San Diego CA Beverly Hills CA Chula Vista CA Allegation: Selling unregistered securities Resolution: Order: Cease and desist the offer or sale of unregistered securities Date of Order/Settlement: 2004-04-27

 

Life Insurance Company of Georgia 59580 February 20, 2002 Insurance Insurance Company

Regulatory Settlement Agreement

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

Knall, David Wells

Indianapolis IN

Allegation: Prior regulatory action

Resolution: Summary Order Denying Application for Securities Agent License.

Date of Order/Settlement: 2009-05-01 00:00:00

Sorensen, Anthony

Coralville IA

Allegation: Committing an unfair trade practice Making a misrepresentation to an insurance company using fraudulant practices by forging anothers name.

Resolution: Cease & Desist any violation of the Iowa Insurance laws and will surrender Life & Health license. This Life & Health license will be suspended for a period of two years from the date of this order

Date of Order/Settlement: 2006-07-25 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

Allen, Curtis M.

Forsyth IL

Allegation: Unfair trade practice

Resolution: Order and Consent to Order and Agreement issued and is permanently barred from reapplying for an Insurance producer license in the state of Iowa. License is revoked.

Date of Order/Settlement: 2007-12-31 00:00:00

Lind, Jeremy S.

Huxley IA

Allegation: Provided incorrect information on application for licensure; Failure to notify Division of other states action

Resolution: Consent signed: Cease and desist from violation of licensing statutes; Pay $125 Fine; $125 Costs

Date of Order/Settlement: 2005-05-24 00:00:00

Behnkendorf, Gerald D.

Algona IA

Allegation: Unfair trade practices misrepresentation

Resolution: Consent signed: Cease and desist from further violations; 2 years probation; Report all consumer complaints against him within 30 days; Pay $5000 Costs.

Date of Order/Settlement: 2003-06-30 00:00:00

Rudd, Jason

Montrose 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

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

(The) Delaware Group

Allegation: Failed to timely file renewal notice fillings

Resolution: Consent Order issued and monetary penalty assessed.

Date of Order/Settlement: 2008-07-29 00:00:00

Heilbuth, Donald R.

Sioux City IA

Allegation: Advertising violations

Resolution: Consent signed: Cease and desist violations; pay $500 Costs

Date of Order/Settlement: 2005-12-07 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

Chieves, Ritchie

Ames IA

Allegation: Misappropriated premium dollars for personal business expenses.

Resolution: Consent Order signed to permanently revoke insurance producer license and is barred from reapplying for an insurance license in the State of Iowa. Chieves is also permanently barred from applying for a securities agent license in the State of Iowa.

Date of Order/Settlement: 2007-07-11 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

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

LH Ross & Company Inc

Boca Raton FL

Allegation: Failed to respond to Division inquiry/investigation

Resolution: Suspended until file a full response; $500 Costs

Date of Order/Settlement: 2005-02-26 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

Bark, Michael

Gretna Louisiana

Allegation: Unregistered agent; unregistered securities; misrepresentations and omissions.

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

Date of Order/Settlement: 2009-07-10 00:00:00

Nelson, Bruce

Urbandale IA

Allegation: Challenges the summary order denying securities agent registration.

Resolution: Decision - denial of securities registration upheld.

Date of Order/Settlement: 2006-09-08 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

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

McFall, Daniel J.

West Des Moines IA

Allegation: Criminal History

Resolution: Order and Consent to Order monetary penalty assessed.

Date of Order/Settlement: 2008-03-18 00:00:00

Bibb, Carl M.

Elkhorn NE

Allegation: Failure to notify Division of other states administrative action within 30 days

Resolution: Consent: Cease and desist; pay $250 Fine and $250 Costs

Date of Order/Settlement: 2005-07-26 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

Bankers Life and Casualty Company

Camel IN

Allegation: Market conduct; Misrepresentations and Violation of sales practices.

Resolution: Order and Consent to Order - Cease and Desist violations Implement the terms of the MOU Civil penalty of $100000.

Date of Order/Settlement: 2007-03-14 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