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

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

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

Lindsey, Maryo

Waterloo IA

Allegation: Child Support Violation

Resolution: Order for Suspension issued.

Date of Order/Settlement: 2007-12-30 00:00:00

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

(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

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

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