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.
Click to subscribe for an email update when new orders are added to this page.
| Name | Case Number | Order Date | Subject | Entity | Order |
|---|---|---|---|---|---|
| Gamel, Sheri M. |
Colorado Springs CO Allegation: Failure to notify the Division of administrative action from other state. Resolution: Order and Consent to Order Date of Order/Settlement: 2006-03-28 00:00:00 |
||||
| Gibson, Roderick P. | 58624 |
Helotes TX Allegation: Providing incorrect or incomplete information on application for licensure; Revocation of insurance license by another state; Failure to notify Division of prior actions Resolution: Order: Iowa insurance license permanently revoked Date of Order/Settlement: 2004-03-22 00:00:00 |
|||
| Hughes, Chuck |
Hot Springs NC Allegation: Transacted business as an investment adviser representative without being registered. Resolution: Order and Consent Order signed and Hughes reimbursed former subscriber $2500. Date of Order/Settlement: 2007-10-19 00:00:00 |
||||
| Harl, Christopher | 58122 |
San Antonio TX Allegation: Failure to notify of criminal action within 30 days Resolution: Consent: Cease and desist; Pay $125 Fine and $125 Costs Date of Order/Settlement: 2005-05-03 00:00:00 |
|||
| Johnson Jr., Ralph |
West Des Moines IA Allegation: Criminal History Resolution: Summary Order Denying Application for Sales Agent License. Date of Order/Settlement: 2008-01-18 00:00:00 |
||||
| Simmons, Henry | 58158 |
Virginia Beach VA Allegation: Failure to notify of other state administrative action; Failure to respond Resolution: Order- License revoked. Date of Order/Settlement: 2005-07-01 00:00:00 |
|||
| Schatz, Kenneth C. | 58835 |
Sioux City IA Allegation: Violation of previous order Resolution: Consent:License revoked Date of Order/Settlement: 2003-07-16 00:00:00 |
|||
| Oberreuter, Sheryl |
Norway IA Allegation: Issued retroactive coverage. Resolution: Order and Consent to Order - Suspension of insurance producer license for 60 days; Civil Penalty and Costs were assessed. Date of Order/Settlement: 2007-02-21 00:00:00 |
||||
| Silva Shea |
Santa Ana CA Allegation: Sale of unregistered securities by an unregistered agent Resolution: Order: Cease and desist of sale or offer of sale of unregistered securities in Iowa Date of Order/Settlement: 2004-08-06 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 |
|||
| Clem, Anthony |
Ames IA Allegation: Sumitted a falsified proof of insurance card to Insurance Company to obtain a refund of premiums for customer. Resolution: Consent Order issued and monetary penalty assessed. Date of Order/Settlement: 2008-09-11 00:00:00 |
||||
| Pell, Melissa | 58185 |
Kenova WV 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 |
|||
| Strohmeier, Gretchen A. | 59071 |
Springboro OH Allegation: Selling annuity insurance policies in Iowa without a license in December 1994 and February 1995. Resolution: Consent signed: Pay $1100 Fine; Have active nonresident Iowa license before selling in Iowa; Report any administrative action taken within 30 days. Date of Order/Settlement: 2004-02-05 00:00:00 |
|||
| Penn Treaty Network America Insurance Company |
Allentown PA Allegation: Proposed a rate increases dated July 6 2007 for several types of long term care policies . Resolution: Summary Order Denying Premium Rate Increase. Date of Order/Settlement: 2007-07-20 00:00:00 |
||||
| Anania, Milton W. (Mike) |
Des Moines IA Allegation: Using unlicensed individuals to solicit and sell; allowing them to sign his name and submit applications; collected commissions for these sales. Resolution: Consent signed; license suspended 30 days; 1 year probation; Cease and Desist charging $50 documentation fee; Attend ethics class; Pay $5000 fine $500 administrative costs. Date of Order/Settlement: 2004-12-14 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 |
|||
| Rhynsburger, Ronald J. | 59341 |
Sioux City IA Allegation: Failure to cooperate Resolution: Order: License suspended until response received; Pay $500 Fine. Date of Order/Settlement: 2003-03-20 00:00:00 |
|||
| Pierce, Judith |
Independence IA Allegation: Used funds to pay herself and certain persons funds to which they were not entitled and failed to follow a direct Order of the Commissioner. Resolution: Consent Order issued and Producer License surrendered. Date of Order/Settlement: 2009-05-29 00:00:00 |
||||
| 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 |
||||
| Stevens, Mike | 58018 |
Eagle Grove IA Allegation: Acting as unregistered securities agent Resolution: Order: Cease and desist acting as a securities agent without registration. Date of Order/Settlement: 2004-04-20 00:00:00 |
|||
| Tradewinds Holding Company A.V.V. | 58770 |
Davie FL Allegation: Unregistered securities Unregistered agents Ommissions and Misrepresentations. Resolution: Cease & Desist Order issued. Date of Order/Settlement: 2006-11-01 00:00:00 |
|||
| Royal Indemnity Company | 58489 |
Charlotte NC Allegation: Failure to respond to Division request for information Resolution: Consent signed: Provide substantive response to Divisions inquiry; Pay $500 Costs Date of Order/Settlement: 2004-05-14 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 |
|||
| Flaherty, Kevin |
Oskaloosa IA Allegation: Failure to respond to Division and Failure to notify Division of address change. Resolution: Decision issued revoking producer license and assessed a monetary penalty. Date of Order/Settlement: 2008-04-22 00:00:00 |
||||
| 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 |
||||
| Lauer, Gordon A. | 58824 |
West Union IA Allegation: Conviction of a felony Resolution: Consent signed: License revoked permanently and forevermore Date of Order/Settlement: 2003-09-19 00:00:00 |
|||
| 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 |
||||
| Larpenter, Patricia | 58092 |
Des Moines IA Allegation: Offered and sold unregistered securities (promisary notes); misrepresented material facts; omitted material facts. Resolution: Cease and desist ordering hald sales and offers to sell securities; misrepresentation and omission of material facts in the offer and selling of securities; cease and desist acting as agents while unregistered Date of Order/Settlement: 2004-09-17 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 |
|||
| Lubarsky, Larry | 63422 |
Brooklyn NY Allegation: Prior regulatory action Resolution: Summary Order Denying Application for Securities Agent License. Date of Order/Settlement: 2009-01-05 00:00:00 |
|||
| 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 |
||||
| Evanovich, Roy | 58420 |
Washington IA Allegation: Unregistered securities agent; offer to sell and sold unregistered securities; fraudulent practices. Resolution: Order: Cease & desist offering or selling any security in this state unless the security is registered or exempt; Cease & desist transacting business as a securities agent in this state; Cease & desist engaging in fraudulent practices Date of Order/Settlement: 2004-02-26 00:00:00 |
|||
| Olive, Richard K. |
Franklin TN Allegation: Unauthorized Insurer; Failure to disclose to policyholders that NFA is not a tax exempt organization; Misleading sales presentations; Unlawful solicitation of insurance business; Unsuitable transactions or recommendations. Resolution: Consent Order signed. Cease and desist violations. Date of Order/Settlement: 2007-09-06 00:00:00 |
||||
| 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 |
||||
| 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 |
|||
| Fagan, Robert Shaun | 58685 |
Kansas City MO Allegation: Misrepresentations in insurance applications Resolution: Order: License suspended; Pay $500 Fine Date of Order/Settlement: 2003-04-17 00:00:00 |
|||
| Hesebeck, Sherewin |
Sheldon IA Allegation: Altered insurance policy applications and altered client premium checks. Resolution: Order and Consent to Order issued and monetary penalty assessed. Insurance producer license suspended for 180 days. Date of Order/Settlement: 2009-08-12 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 |
|||
| Bankers Life and Casualty Company | 58899 |
Chicago IL Allegation: Advertising Violations Resolution: Consent signed: Pay $9424 Fine; comply with Iowa advertising laws and regulations. Date of Order/Settlement: 2003-06-02 00:00:00 |
|||
| Polcyn, James |
Ft. Lauderdale FL Allegation: Unlicensed sale of Insurance. Resolution: Cease and Desist order; Civil penalty assessed. Date of Order/Settlement: 2006-12-28 00:00:00 |
||||
| Hague, Mervin Duane |
Evansdale IA Allegation: Unregistered agent; misrepresentations; omissions of material facts in the sale of securities. Resolution: Order: Cease and desist the offer or sale of unregistered non exempt securities; acting as securities agent without registration in Iowa; making untrue statements; omitting material facts. Date of Order/Settlement: 2004-07-01 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 |
|||
| National Bullion Investors LLC |
New York NY Allegation: unlawful commodity transaction in Iowa Resolution: Consent Order issued. Date of Order/Settlement: 2008-06-19 00:00:00 |
||||
| Dixon, William R. | 59391 |
Apalachin NY Allegation: Failure to report another states administrative action Resolution: Consent signed: Cease and desist violations of Iowa insurance statutes and rules; pay $125 Fine and $125 Costs Date of Order/Settlement: 2005-09-23 00:00:00 |
|||
| OConnor Jr., Jerome J. | 58743 |
Omaha NE Allegation: Failure to notify the Iowa Insurance Division of prior administrative actions 2/26/04 Failure to pay fine. Resolution: Consent signed: 1 year license probation; Pay $750 civil penalty; report any administrative action taken against him within 30 days of final disposition 2/26/04; License suspended. Date of Order/Settlement: 2003-12-04 00:00:00 |
|||
| Lincoln Benefit Life Company |
Lincoln NE Allegation: Failure to cooperate in an investigation by the Commissioner. Resolution: Consent Order - Civil penalty and costs imposed and response received for the Divisions inquiries. Date of Order/Settlement: 2007-05-29 00:00:00 |
||||
| Darnell, Mary E. | 58071 |
Grinnell IA Allegation: Failure to comply with child support order Resolution: License suspended Date of Order/Settlement: 2004-10-28 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 |
|||
| Viking Insurance Company of Wisconsin |
Stevens Point WI Allegation: Violation in claim handling Resolution: Consent Order issued and monetary penalty assessed. Date of Order/Settlement: 2009-03-10 00:00:00 |
||||
| Beck, Eric |
Urbandale IA Allegation: Failure to respond to investigation Resolution: Order for Suspension of license Date of Order/Settlement: 2006-04-28 00:00:00 |