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
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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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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| (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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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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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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |