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 |
|---|---|---|---|---|---|
| Erwin, Gary | 59465 |
Davenport IA Allegation: Failure to pay penalty & costs from previous actions Resolution: Consent Signed: Revocation of license until penalty and costs paid Date of Order/Settlement: 2001-09-05 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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| Lorenzen, Monte | 59063 |
Panora IA Allegation: Sale of unregistered securities/viatical settlement contracts; unregistered securities agent; fraudulent securities practices; misrepresentation of material facts; unsuitable sales; advertising violations;violation of prior order and consent to order. Resolution: Consent signed: Cease any offers & all sales of insurance products on 5/1/04; surrender Iowa insurance producer license 5/30/04; permanently barred from reapplying for Iowa insurance license & securities license; cease & desist; Pay $1000 Costs Date of Order/Settlement: 2004-04-01 00:00:00 |
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| Lindsey, Maryo |
Waterloo IA Allegation: Child Support Violation Resolution: Order for Suspension issued. Date of Order/Settlement: 2007-12-30 00:00:00 |
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| Grismore Jr., David |
Corydon IA Allegation: Manipulated the insurance producer computer system in order to receive numerous policies for himself without paying. Resolution: Consent Order issued and license revoked. Date of Order/Settlement: 2008-03-17 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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| Straka, Catherine A. | 58687 |
Council Bluffs IA Allegation: Misappropriation of client funds Resolution: Consent signed: Insurance license revoked; permanently barred from reapplying for an insurance producer license. Date of Order/Settlement: 2003-08-08 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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| 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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| OConnor Jr., Jerome J. |
Omaha NE Allegation: Forgery; use of fraudulent coercive or dishonest practices Resolution: Order signed: License permanently revoked Date of Order/Settlement: 2004-08-27 00:00:00 |
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| Church Life Insurance |
New York NY Allegation: Violation of Iowa Unauthorized Insurers Act. Resolution: Consent issued and monetary penalty assessed. Date of Order/Settlement: 2008-11-10 00:00:00 |
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| Bray, Rebecca A. | 58002 |
Orange City IA Allegation: Failure to respond Resolution: Order Signed: License Suspended; $500 Fine; $100 Costs; Respond to Division Date of Order/Settlement: 2000-07-12 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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| U. S. Bancorp | 58411 |
Minneapolis MN Allegation: Inappropriate influence by investment banking over research analysts; failed to establish and enforce written supervisory procedures to prevent undue influence Resolution: Consent Order: without admitting or denying allegations consented to cease and desist and pay $125000 Fine Date of Order/Settlement: 2004-02-16 00:00:00 |
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| Growth Stock Guru |
New York NY Allegation: Unlicensed Investment Advisor and Representative; Misrepresentations and Omissions. Resolution: Cease and Desist order issued and monetary penalty assessed. Date of Order/Settlement: 2007-08-13 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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| Lavin, Larry B. | 59313 |
Milford IA Allegation: Sale of unregistered securities and/or unregistered business opportunities Resolution: Consent signed: 1 yr; probation; Repay commissions and/or finders fees; Restitution on pro-rata basis to Iowa investors of $18480; sell only approved products or investments. Date of Order/Settlement: 2003-03-31 00:00:00 |
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| McNeal, Jeannie M. |
Cedar Rapids IA Allegation: Child Support Violation Resolution: Order for Suspension issued. Date of Order/Settlement: 2009-07-09 00:00:00 |
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| Andersen, Elizabeth J. | 58952 |
Fort Dodge IA Allegation: Prior disciplinary action Resolution: Consent Signed: Licensure permanently restricted to Qualification 16 personal lines; work subject to regular review by licensed producer. Date of Order/Settlement: 2001-11-16 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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| TIG Insurance Company | 58504 |
Irving TX Allegation: Failure to provide response to Divisions inquiry Resolution: Consent: Provide a stubstantive response; Pay $1000 Costs Date of Order/Settlement: 2004-05-05 00:00:00 |
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| Vander Wilt, Arthur J. | 59582 |
Hospers IA Allegation: Selling unauthorized insurance products Resolution: Consent Signed: Cease and Desist from selling unauthorized ins. Products; Pay all outstanding health claims after final resolution of US Dept of Labor action against Employers Mutual L.L.C. Date of Order/Settlement: 2002-03-14 00:00:00 |
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| Palmer, Linda |
Renwick IA Allegation: Unregistered Securities; Unregistered Agent; Unlicensed Investment Advisor and Misrepresentations. Resolution: Proposed order granting entry of default judgment. Cease and Desist Order is hereby affirmed. Date of Order/Settlement: 2006-11-16 00:00:00 |
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| Scott, Machuta |
Mount Pleasant MI Allegation: Not registered as a securities agent in Iowa; Sold investments/promissory notes not registered as securities in Iowa. Resolution: Order: Cease and desist acting as an agent in Iowa without registration; cease and desist the orffer or sale of unregistered and non exempt securities in Iowa. Date of Order/Settlement: 2004-06-10 00:00:00 |
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| Welander, LuJean |
Mason City IA Allegation: Provided incorrect information on her application for an Iowa Preneed Sales Agent License and on her application for an Iowa Insurance Producer License. Resolution: Consent Order issued and was ordered to accurately answer all questions on applications and was granted a license to be a Preneed Sales Agent and an Iowa Insurance Producer. Date of Order/Settlement: 2008-05-12 00:00:00 |
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| Bankson, James P. |
San Clemente CA Allegation: Failure to report other states action Resolution: Consent: Cease and desist violation of Iowa laws; Pay $125 Fine and $12 Costs. Date of Order/Settlement: 2005-08-26 00:00:00 |
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| Neighbor, Eldon L. | 58829 |
Alburnett IA Allegation: Permitted unlicensed person to sell commercial policies; Resolution: Consent signed: License suspended for 30 days; 1 year probation ending 1 year from the end of suspension; Pay $5368.50 fine; Pay $500 Costs; Confirm with policyholders policy meets their needs; pay any additional premiums needed. Date of Order/Settlement: 2003-10-24 00:00:00 |
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| Wright, Curtis M. | 59493 |
Waterloo IA Allegation: Failure to pay child support Resolution: License suspended Date of Order/Settlement: 2002-12-24 00:00:00 |
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| Roi, Louis |
Naperville IL Allegation: Surplus Violations. Resolution: Consent Order signed and civil penalty assessed. Date of Order/Settlement: 2007-05-10 00:00:00 |
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| Learn Waterhouse Inc |
Edinburg TX Allegation: Unregistered Securities; Unregisterd Agent material misrepresentations and omissions Resolution: Order: Cease and desist the offer or sal of unregisterd non exempt securities; cease and desist acting as an agent without registration; making misrepresentations and omissions of material facts; Date of Order/Settlement: 2004-10-04 00:00:00 |
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| Rosen, Michael |
Scarsdale NY Allegation: Prior regulatory action Resolution: Summary Order Denying Application for Securities Agent License. Date of Order/Settlement: 2009-02-06 00:00:00 |
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| Raines, John E. | 59508 |
Fairfield IA Allegation: Marketing and sales violations Resolution: Consent Signed: Cease and desist; 2 yrs probation; assist IID’s investigation; Return 10% of investment to clients Date of Order/Settlement: 2001-04-05 00:00:00 |
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| Seawright, Terrence |
Philadelphia PA Allegation: Failure to disclose other states action failure to disclose on license application failure to respond. Resolution: Order: License revoked; $250 fine; make full explanation. Date of Order/Settlement: 2006-02-23 00:00:00 |
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| Urista, Jason C. |
Columbia Heights MN Allegation: Failure to disclose prior criminal history Resolution: Order: Revocation of Iowa Insurance License Date of Order/Settlement: 2004-03-15 00:00:00 |
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| Straw, Jack |
Cedar Rapids IA Allegation: Unlicensed SEC. Misrepresentation; misappropriation of funds. Resolution: Order of Summary Revocation and Order to Cease and Desist. Date of Order/Settlement: 2007-09-28 00:00:00 |
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| McKenna, Todd J. | 58125 |
West Des Moines Allegation: Failure to notify Division of actions; Failure to cooperate with investigation Resolution: Order signed: License revoked; Pay $500 F and $200 Costs Date of Order/Settlement: 2005-04-18 00:00:00 |
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| Blazicek, Diane J. | 59319 |
Johnson City NY Allegation: Material misstatement on application for licensure; revocation of insurance license in another state; failure to notify Division of prior actions Resolution: Order: License revoked Date of Order/Settlement: 2003-05-16 00:00:00 |
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| Sovia, Shannon |
Atlantic IA Allegation: Failure to pay state debt. Resolution: Order for Suspension issued. Date of Order/Settlement: 2009-10-05 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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| Rouse, Janie E. | 58994 |
Des Moines IA Allegation: Appealed denial of licensure Resolution: Order: Denial of Licensure upheld; may resubmit application on or after 9/30/02 Pay $200 Costs. Date of Order/Settlement: 2002-07-03 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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| (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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| 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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| Rudnicki, Jeffrey A. | 59463 |
Marion IA Allegation: Unauthorized signature on application Resolution: Order Signed: Revocation of License; $200 Fine; $100 Costs Date of Order/Settlement: 2001-09-05 00:00:00 |