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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Displaying 1051 - 1100 of 1381| Name | Case Number | Enforcement Date Sort ascending | Subject | Entity | Order |
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| Baccam, Phoukam | Des Moines IA Allegation: Failure to respond Resolution: License suspended. Date of Order/Settlement: 2006-06-20 00:00:00 |
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| Wachovia Capital Markets LLC | Charlotte NC Allegation: Conflicts of interest between investment banking and equity research department failure to supervise its research analysts failed to maintain and produce in a timely manner certain books and records. Resolution: Without admitting or denying findings of fact and conclusions of law Wachovia agreed to cease and desist failing to supervise and agreed to pay a civil penalty of $246500. Date of Order/Settlement: 2006-08-15 00:00:00 |
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| Glass, Susan | Mishawaka IN Allegation: Failure to report administrative action Resolution: Consent Order - $125 fine and other costs assessed. Date of Order/Settlement: 2006-09-22 00:00:00 |
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| McCaa, Pam | Brownsville TX Allegation: Unregistered securities agent; Solicited and sold unregistered securities in Iowa; and ommissions. Resolution: Cease and Desist Order. Date of Order/Settlement: 2006-11-13 00:00:00 |
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| Ripka, Linda | 58807 | Warsaw MN Allegation: Unregistered securities Unregistered agent Ommissions and Misrepresentations. Resolution: Order and Consent to Order. Civil penalty imposed in Cease & Desist is vacated. Date of Order/Settlement: 2006-12-18 00:00:00 |
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| 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 |
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| Bessine, Dustin | Burlington IA Allegation: Failure to comply with Other State Agency - DHS; Non-compliance w/order of Child Support Resolution: License is suspended Date of Order/Settlement: 2007-03-05 00:00:00 |
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| Fischer, Lucas | Newton IA Allegation: Child Support Violation. Resolution: Order for suspension of insurance producer license. Date of Order/Settlement: 2007-04-02 00:00:00 |
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| Cooper, Vernon | Rochester MN Allegation: Plead guilty to criminal charges. Resolution: Consent Order - producer license is revoked and Cooper is permanently barred from reapplying. Date of Order/Settlement: 2007-05-21 00:00:00 |
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| Flattery, Edmond | Albia IA Allegation: Criminal charges Resolution: Order of Summary Suspension Date of Order/Settlement: 2007-06-19 00:00:00 |
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| MemberSelect Insurance Company | Dearborn MI Allegation: MemberSelect was making rate revisions charged for its Iowa Homeowners program. Resolution: Summary Order Disapproving premium rate changes. Date of Order/Settlement: 2007-08-07 00:00:00 |
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| Avera Health Plans Inc | Sioux Falls SD Allegation: Avera had not filed a sample notification of a members right to have an external review following a claim denial. Resolution: Consent Order signed and monetary fines and costs assessed. Date of Order/Settlement: 2007-09-11 00:00:00 |
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| 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 |
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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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| Irons, Jack | Lincoln NE Allegation: Unregistered securities; Unregistered agent; Misrepresentation and Omissions Resolution: Cease and Desist Order issued and monetary penalty assessed. Date of Order/Settlement: 2008-02-15 00:00:00 |
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| National Union Fire Insurance Company of Pittsburgh PA. | New York NY Allegation: Violation of Claims - Prompt payment of claims. Resolution: Consent Order issued; penalty assessed and ordered to pay 10% interest to insured for period beginning June 24 2007 thru October 11 2007. Date of Order/Settlement: 2008-04-23 00:00:00 |
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| 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 |
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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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| Hermawan, Samuel | Des Moines IA Allegation: Misappropriating monies; Using fraudulent coercive or dishonest practices; Demonstrating incompetence untrustworthiness or financial irresponsibility. Resolution: Decision issued and monetary penalty assessed. Date of Order/Settlement: 2008-10-17 00:00:00 |
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| Scarborough, Joseph Michael | Prince Frederick MD Allegation: Prior regulatory action Resolution: Summary Order Denying Application for Securities Agent License. Date of Order/Settlement: 2009-01-14 00:00:00 |
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| 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 |
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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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| Wilcox, Travis | Ankeny IA Allegation: Failing to comply with the terms of a consent order issued by the Insurance Commissioner Resolution: Proposed Decision issued and monetary penalty assessed. Date of Order/Settlement: 2009-07-08 00:00:00 |
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| All American Homes of Iowa LLC | Middlebury IN Allegation: Failed to timely file Resolution: Consent Order issued and monetary penalty assessed. Date of Order/Settlement: 2009-08-13 00:00:00 |
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| Revland, Markis K. | 59314 | Arnolds Park IA Allegation: Failure to comply with previous order and failure to respond to Division inquiry Resolution: License suspended Date of Order/Settlement: 2004-01-07 00:00:00 |
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| Opheim, James H. | 58418 | Spencer IA Allegation: Completed life applications without the proposed insureds knowledge; allowed third party to sign the applicants names without authorization. Resolution: Consent signed: 1 yr probation; Pay $750 Fine; Pay $250 Costs; Cease and desist from allegations; report administrative actions within 30 days to the Ins. Div. Date of Order/Settlement: 2004-02-10 00:00:00 |
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| Riley, Derrick L. | 58469 | Waterloo IA Allegation: Criminal convictions Resolution: Consent signed: 1 year probation from date license issued; Agrees to report any administration action within 30 days of final disposition; Agrees to report any criminal prosecution within 30 days of initial pretrial conference; Submit quarterly reports. Date of Order/Settlement: 2004-02-18 00:00:00 |
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| 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 |
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| Halsband, Emily J. | Clive IA Allegation: Conviction of two class "C" felonies Resolution: Consent signed: Iowa insurance license revoked permanently; barred from reapplying for a securities license in Iowa Date of Order/Settlement: 2004-03-31 00:00:00 |
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| Hifilez Inc | Eagle Grove IA Allegation: Shares of stock offered by Hifilez are not registered as securities in Iowa. Resolution: Order: Cease and Desist the offer or sale of unregistered and non-exempt securities in Iowa. Date of Order/Settlement: 2004-04-20 00:00:00 |
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| Mutual Service Life Insurance Company | 58487 | Arden Hills MN Allegation: Failure to respond to Division inquiry Resolution: Consent: Provide substantive response; pay $500 Costs Date of Order/Settlement: 2004-05-14 00:00:00 |
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| 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 |
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| Spees, Lisa | Keokuk IA Allegation: Using fraudulent or dishonest practices; failure to cooperate Resolution: Order: License revoked Date of Order/Settlement: 2004-07-15 00:00:00 |
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| Cooper, Byron D. | 59331 | Cedar Rapids IA Allegation: Unlicensed to sell securities; Sale of alleged investments in unregistered securities promissory notes Resolution: Consent signed: Cease and desist sale or offer to sell securities without a securities license; 2 years probation; $5000 civil penalty. Date of Order/Settlement: 2004-08-11 00:00:00 |
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| Porterfield III, Herlen C. | 58037 | Lansdowne PA Allegation: Providing incorrect information on License Application; conviction of a velony revocation of license in another state; failure to cooperate in investigation by commissioner Resolution: Order: License revoked Date of Order/Settlement: 2004-09-13 00:00:00 |
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| 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 |
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| UNUM Life Insurance Company of America | 58083 | Portland ME Allegation: Multi State Market Conduct Exam for individual and group long term disability income claim handling practices. Resolution: Agreement: Implement changes in corporate governance; implement the Claim Reassessment Process; Provide initial notice to specified claimants; conduct employee training; pay fine to be allocated to participating regulators. Date of Order/Settlement: 2004-11-18 00:00:00 |
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| Koch, Edward T. | 58084 | Holy Cross IA Allegation: Failure to comply with child support order Resolution: License suspended Date of Order/Settlement: 2005-01-18 00:00:00 |
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| Swafford, Judi A. | Oklahoma City OK Allegation: Failure to disclose on license application; failure to to notify Diviison of prior actions; revocation of license by another state; failure to cooperate with investigation Resolution: Order: License revoked; Pay $250 Fine before licensure may be restored Date of Order/Settlement: 2005-03-23 00:00:00 |
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| Borrego, Jesse | 58629 | Buda TX 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: 2005-04-26 00:00:00 |
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| 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 |
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| Cunningham, Kevin J. | 58160 | Palos Park IL Allegation: Revocation of license by another state; failure to cooperate with investigation Resolution: Consent signed: two years probation; report any administrative action within 30 days; cease and desist any violation of Iowa insurance laws;pay $350 Fine and $100 Costs Date of Order/Settlement: 2005-07-06 00:00:00 |
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| Waddell & Reed Inc | Overland Park KS Allegation: Waddell a broker dealer sought to exchange their customers United Investors Life Ins. Co. variable annuities to Nationwide variable annuities. The BB and agents received a new commission on each exchange but many customers paid surrender charges. Resolution: Order and Consent to Order. Waddell & Reed censured $79000 to compensate Iowa customers $29000 civil penalty to the Division and several undertakings. Date of Order/Settlement: 2005-08-10 00:00:00 |
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| Dedicated Resources Inc | Miami FL Allegation: Not a registered broker/dealer agents; sale of unregistered securities (viaticals) Resolution: Consent signed: Cease and desist the offer or sale of unregistered securities (viatical settlement) investment contracts to persons residing in Iowa. Date of Order/Settlement: 2005-09-10 00:00:00 |
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| 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 |
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| Smith, Jessica | 58573 | Wallingford CT 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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| Roth, Samantha | Germantown OH Allegation: Failure to notify Division of administrative action Resolution: Consent: Cease and desist violations of Iowa law; pay $125 Fine and $125 Costs Date of Order/Settlement: 2006-01-03 00:00:00 |
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| Richardson, Terry C. | 58425 | Des Moines IA Allegation: Violations of Securities Act; Unregistered agent & investment adviser representative Misrepresentations & Omissions Cease and Desist orders issued by other states Resolution: Consent: permanently barred from reapplying for insurance producer license; pay $3000 Costs; cooperate in investigation; Date of Order/Settlement: 2006-02-23 00:00:00 |
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| 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 |
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| Bertsch, Kristoffer | Wilmington DE Allegation: Failure to respond. Resolution: Order - License revoked. Date of Order/Settlement: 2006-08-18 00:00:00 |