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
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

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

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

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

Conseco Annuity Assurance Company 59652

Carmel IN

Allegation: Failure to respond to IID inquiry

Resolution: Consent Signed: Respond to IID: Pay $500 Fine; $100 Costs

Date of Order/Settlement: 2002-09-10 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

Kensington Resources Inc

Costa Mesa CA

Allegation: Unregistered securities

Resolution: Cease & Desist Order issued and a monetary penalty assessed.

Date of Order/Settlement: 2008-11-20 00:00:00

Raymond, Daniel R. 58348

Kansas City MO

Allegation: Failure to report criminal prosecution

Resolution: Order Signed: License revoked

Date of Order/Settlement: 2000-08-16 00:00:00

Gajdos, Daniel 58674

Denver CO 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

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

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

American General Assurance Company 58945

Schaumburg IL

Allegation: Failure to respond to Division inquiry

Resolution: Consent Signed: Provide a response; $500 Fine $100 Costs

Date of Order/Settlement: 2001-11-28 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

Riggall, John 59575

Centerville IA

Allegation: Selling products not issued by a licensed insurance company

Resolution: Consent Signed: Cease and desist; 2 yr probation; supervision; pay monetary amount of $12000

Date of Order/Settlement: 2002-03-25 00:00:00

Bonnell, Peter

Medina OH

Allegation: Advertising Violation.

Resolution: Order and Conset to order signed; Civil Penalty assessed.

Date of Order/Settlement: 2006-12-18 00:00:00

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

Davis, William J.

Spirit Lake IA

Allegation: Child Support Violation

Resolution: Order for Suspension issued.

Date of Order/Settlement: 2008-05-16 00:00:00

Gulsvig, Ronald G. 59388

Waterloo IA`

Allegation: Failure to pay child support

Resolution: License suspended

Date of Order/Settlement: 2005-09-06 00:00:00

Neighbor, Mark A. 58830

Alburnett IA

Allegation: Selling without proper license

Resolution: Consent signed: License suspended for 30 days; 1 year probation ending one year from end of suspension date; Pay fine $5368.50; Pay costs $500; Confirm with policyholders policy meets the needs; Pay any additional premiums needed.

Date of Order/Settlement: 2003-10-24 00:00:00

MacDonald, Stacy 59494

Scranton IA

Allegation: Sale of unregistered securities by unregistered agentl omissions of material facts in the sale of securities.

Resolution: Consent: 1 yr probation of insurance license; Payment to Bureau as settlement of disputed claims $10161.11

Date of Order/Settlement: 2003-01-07 00:00:00

Comeau, Perry

Oelwein IA

Allegation: Unregistered investment advisor and representative.

Resolution: Consent Order signed and civil penalty assessed.

Date of Order/Settlement: 2007-05-21 00:00:00

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

Cillo, Mark

Saint Louis MO

Allegation: Violated Iowa Insurance Trade Practices Act

Resolution: Summary Cease and Desist Order.

Date of Order/Settlement: 2009-02-10 00:00:00

Lavin, Larry 59293

Milford IA

Allegation: Failure to respond to Division inquiries

Resolution: Consent Signed: 1 yr probation; certify compliance with insurance laws and regulations; Cease and Desist; Costs: $1000

Date of Order/Settlement: 2001-04-30 00:00:00

Davis, Shana M.

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: pay $3000 Costs; cooperate in investigation;

Date of Order/Settlement: 2006-02-23 00:00:00

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

Future Stars Sports Inc

Green City MO

Allegation: Unregistered agent Unregistered securities misrepresentations omissions.

Resolution: Cease & Desist Order issued and a monetary penalty assessed.

Date of Order/Settlement: 2007-10-12 00:00:00

Curtin, Jeffrey C. 58576

Oklahoma City OK

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

Christensen, Daniel J. 59300

Dubuque IA

Allegation: Failure to cooperate in an investigation

Resolution: Order: Insurance License suspended; $500 Fine; $100 Costs; respond to Division inquiry

Date of Order/Settlement: 2003-05-22 00:00:00

Fowler, Bradley S. 58564

Elk Point SD

Allegation: Wrote insurance applications in Iowa without a valid Iowa non-resient producer license; Failure to notify of address change within 30 days of change

Resolution: Consent: Cease and desist any violation; will not sell in Iowa without a valid license; notify of any address change; 2 years probation; Pay $750 Fine and $250 Costs

Date of Order/Settlement: 2005-06-14 00:00:00

Union Security Life Insurance Company 58677

Atlanta GA

Allegation: Failure to cooperate with Commissioners investigation

Resolution: Consent signed: Provide requested information; Pay $500 Fine; Pay $100 Costs

Date of Order/Settlement: 2003-07-01 00:00:00

Conseco Senior Health Insurance Company

Carmel IN

Allegation: Failure to respond to IID inquiry

Resolution: Consent Signed: Respond to IID; Pay $500 Fine; $100 Costs

Date of Order/Settlement: 2002-07-10 00:00:00

Nelson, Gary

Tarpon Springs FL

Allegation: Unregistered securities Unregistered agent Ommissions and Misrepresentations.

Resolution: Order and Consent to Order signed. Civil penalty imposed in Cease & Desist is vacated.

Date of Order/Settlement: 2007-02-07 00:00:00

Parks, Bruce D.

Burlington IA

Allegation: Sale of unregistered securities and/or unregistered business opportunities without proper licensure.

Resolution: Consent signed: Iowa insurance license permanently revoked; cease and desist participating in any activiites that require an insurance license and sale of unregistered securities and/or business opportunities in Iowa.

Date of Order/Settlement: 2004-07-22 00:00:00

Barns, Drew

Bloomington MN

Allegation: Used fraudulent coercive or dishonest practices or demonstrated incompetence untrustworthiness or financial irresponsibility in the conduct of business.

Resolution: Consent Order issued and insurance producer license revoked.

Date of Order/Settlement: 2008-08-05 00:00:00

Gibbs, Sherry G.

Shaker Heights OH

Allegation: Failure to notify Division of administrative action.

Resolution: Consent signed: Cease and desist from violations; pay $125 fine and $125 costs

Date of Order/Settlement: 2005-12-07 00:00:00

Andrews, Edgar Lee 58409

Des Moines IA

Allegation: Unregistered securities agents; Selling unregistered securities;

Resolution: Order: Cease & Desist the offer or sale of unregistered securities; cease & desist acting as agents without registration; shall not employ unregistered agents; shall not make untrue statements of material facts in the offer or sale of securities.

Date of Order/Settlement: 2004-01-21 00:00:00

Coventry Health Care of Iowa

Urbandale IA

Allegation: Denial of coverage

Resolution: Decision rendered based on facts presented. Contract will terminate 10 days after decision issued. Claims will be paid for submitted or medical charges incurred as provided under terms of contract during period of coverage.

Date of Order/Settlement: 2007-07-18 00:00:00

Peters, Jerry L. 58147

Kansas City MO

Allegation: As an unregistered agent sold an unregistered security a viatical settlement investment contract to an Iowa resident.

Resolution: Order: Cease and desist sales of unregistered non-exempt securities. Peter ordered to cease and desist acting as an agent while not registered with the Iowa Securities Bureau.

Date of Order/Settlement: 2004-11-22 00:00:00

Moeller, Gregory M. 59301

Mount Pleasant IA

Allegation: Sale of unregistered securities and/or business opportunities

Resolution: Consent signed: 1 yr. probation; repay all commissions of $1400;sell only approved products.

Date of Order/Settlement: 2003-03-12 00:00:00

Bliek, Roy

Hull IA

Allegation: Sale of unregistered securities; Unregistered agent

Resolution: Consent Order issued to cease and desist violations.

Date of Order/Settlement: 2009-05-03 00:00:00

Courtney, Mark A. 58956

Guthrie Center IA

Allegation: Improper Sales

Resolution: Consent Signed: Permanent license revocation

Date of Order/Settlement: 2001-09-25 00:00:00

Moore, Steven J.

Maquoketa IA

Allegation: Committing an unfair trade practice making misrepresentation to an insurance company using fraudulent practices by allegedly forging anothers name.

Resolution: Cease & Desist any violation of the Iowa Insurance laws and will surrender Life & Health insurance license and agrees not to reapply for license in future. Also on probation for a period of two years and will pay civil penalty.

Date of Order/Settlement: 2006-07-27 00:00:00