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 |
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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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| 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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| 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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| 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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| 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 |
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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 |
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| 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 |
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| 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 |
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| 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 |
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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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| 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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| 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 |
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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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| 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 |
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| 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 |
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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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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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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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| 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 |
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| 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 |
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| 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 |
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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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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |