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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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Huebner, Daniel W. | 58752 |
Grinnell IA Allegation: Replacement violations; receiving commissions without company appointment; Omissions from insurance applications Resolution: Order: Cease and Desist from further violation; $800 Fine; $500 Costs Date of Order/Settlement: 2002-02-15 00:00:00 |
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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 |
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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 |
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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 |
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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 |
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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 |
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Lopez, Wilson Joseph | 59001 |
Bellevue NE Allegation: Other states action Resolution: Consent Signed: 1 year Probationary license with life and health qualifications restrictions Date of Order/Settlement: 2002-10-10 00:00:00 |
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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 |
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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 |
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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 |
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Kolbe, Joseph R. | 59227 |
Bradenton FL Allegation: Unsuitable Sales & Twisting Resolution: Consent signed: 2 yrs probation; $2500 Fine; $750 Costs Date of Order/Settlement: 2001-02-28 00:00:00 |
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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 |
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Hrdlicka, Raymond W. | 59295 |
Fremont CA Allegation: Failure to notify of other state's action Resolution: Consent Signed: License revoked for 10 years; $200 Fine; $100 Costs Date of Order/Settlement: 2001-07-10 00:00:00 |
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MemberSelect Insurance Company |
Dearborn MI Allegation: Summary Order Disapproving premium rate changes. Resolution: Consent Order signed. Date of Order/Settlement: 2007-10-22 00:00:00 |
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Dasilva Jr., Walter C. | 58121 |
Oklahoma City OK Allegation: Failure to notify Division of prior action. Resolution: Order: License revoked; Pay $500 Fine and $200 Costs before relicensure in Iowa Date of Order/Settlement: 2005-05-04 00:00:00 |
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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 |
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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 |
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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 |
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United American Insurance Company | 59599 |
McKinney TX Allegation: Market Conduct Exam Resolution: Consent Signed: Implement procedures; $5000 Fine Date of Order/Settlement: 2002-05-28 00:00:00 |
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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 |
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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 |
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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 |
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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 |
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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 |
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Golden American Life Insurance Company |
West Chester PA Allegation: Violations of right to return life insurance policy or annuity (free look). Resolution: Consent: Refund to consumers of difference in premium; Pay $1000 Costs; Compliance. Date of Order/Settlement: 2003-02-10 00:00:00 |
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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 |
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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 |
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Evanovich, Roy A. |
Washington IA Allegation: Violation of law regulation or order of the commissioner; misappropriation; unfair insurance trade practices; failure to cooperate in investigation. Resolution: Consent signed: Insurance license revoked; Pay $2500 Costs Date of Order/Settlement: 2004-03-23 00:00:00 |
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Mize, Lisa |
Summersville WV Allegation: Failure to respond. Resolution: Order - License revoked. Date of Order/Settlement: 2006-08-18 00:00:00 |
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Bates, David | 58019 |
Barnum 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 |
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Lincoln Benefit Life Company | 58941 |
Northbrook IL Allegation: Failure to respond to Division inquiry Resolution: Consent Signed: Provide a response; $500 Fine; $100 Costs Date of Order/Settlement: 2001-10-23 00:00:00 |
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Ahlf, Johnathan |
Muscatine IA Allegation: Reconsideration of license revocation. Resolution: Decision issued affirming the Divisions decision to deny Ahlfs resident producer license. Date of Order/Settlement: 2008-01-29 00:00:00 |
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Simmons, Henry E. |
Virginia Beach VA Allegation: Failure to notify Division of prior actions; failure to cooperate with investigation; denial of license by another state. Resolution: Order: License revoked; Pay $250 Fine and respond to division inauires before license may be restored. Date of Order/Settlement: 2005-07-01 00:00:00 |
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Bacon, Jerry A | 58725 |
Fort Dodge IA Allegation: Improper sales of insurance products Resolution: Consent signed: Cease and desist from further violations; 2 years probation; report consumer complaints; pay cost of $5000. Date of Order/Settlement: 2003-07-21 00:00:00 |
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Messmore, Gregory |
Mason City IA Allegation: Unsuitable sale and violation of insurance and securities license. Resolution: Order & Consent to Order- Insurance and Securities License is suspended for a period of no less than five years. Date of Order/Settlement: 2007-02-22 00:00:00 |
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Sunrise Energy Inc |
Irvine CA Allegation: Selling nregistered securities unregistered agent Resolution: Order: Cease and desist the offer or sale of and participating in the offer or sale of unregistered securities Date of Order/Settlement: 2004-08-06 00:00:00 |
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Cooper, Vernon W. | 58977 |
Cedar Rapids IA Allegation: Issued promissory notes to insurance customers Resolution: Consent Signed: Voluntary Suspension of license pending resolution of issues surrounding promissory notes to clients Date of Order/Settlement: 2002-08-01 00:00:00 |
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Conroy, John |
East Norwich NY Allegation: Prior regulatory action taken. Resolution: Summary Order Denying Application for Securities Agent License. Date of Order/Settlement: 2008-09-12 00:00:00 |
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Pettus, Rodney | 58572 |
Charlotte NC 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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Ronnfeldt, Gary B. | 58627 |
Miles IA Allegation: Misappropriation of premiums; converted funds to personal use Resolution: Consent signed: License permanently revoked. Date of Order/Settlement: 2004-02-06 00:00:00 |
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Tapken, John |
Marion IA Allegation: Issued retroactive coverage and forged client signatures. Resolution: Consent Order signed and civil penalty assessed. Date of Order/Settlement: 2007-07-24 00:00:00 |
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Knutson, Randy G. | 58080 |
Ankeny IA Allegation: Forgery Resolution: 1 yr probation; $1500 fine; Cease & Desist from signing customers names on insurance documents Date of Order/Settlement: 2004-12-17 00:00:00 |
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Christensen Jr., Robert A. | 59340 |
Atlantic IA Allegation: Violation of Commissioners Order; Dishonest practices and incompetence; Failure to inform of address change Resolution: Order: License revoked Date of Order/Settlement: 2003-03-21 00:00:00 |