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 |
|---|---|---|---|---|---|
| Flattery, Edmond |
Albia IA Allegation: Criminal charges Resolution: Consent Order - Insurance Producer License is permanently revoked and permanently barred from reapplying for an insurance producer license. Also permanently barred from applying for a securities agent license in the State of Iowa. Date of Order/Settlement: 2007-10-31 00:00:00 |
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| Siebring Export Inc |
Albion IA Allegation: Sale of unregistered securities by an unregistered agent Resolution: Cease and desist the offer or sale of unregistered non-exempt securities in Iowa Date of Order/Settlement: 2004-05-03 00:00:00 |
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| 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 |
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| Irons, Jack |
Lincoln NE Allegation: Unregistered securities; Unregistered agent; Misrepresentation and Omissions Resolution: Cease and Desist Order issued and monetary penalty assessed. Date of Order/Settlement: 2008-02-15 00:00:00 |
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| Bronson, Michael J. | 58437 |
Cedar Rapids IA Allegation: Referencing himself as a financial planner Resolution: Consent signed: Cease representing himself as a Financial Planner; 2 years probation; $250 Fine and $250 Costs Date of Order/Settlement: 2005-07-07 00:00:00 |
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| Kibbee, Jason L. | 58688 |
Kellogg IA Allegation: Misappropriation of Client Funds; Lack of character and competency Resolution: Order: License permanently revoked. Date of Order/Settlement: 2003-08-01 00:00:00 |
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| Combined Insurance Company of America |
Glenview IL Allegation: Failed to implement adequate procedures to ensureproper licensure of its independent agents thereby resulting in the sale of policies by an unlicensed agent. Resolution: Order and Consent to Order - Civil penalty and costs imposed. Date of Order/Settlement: 2007-03-07 00:00:00 |
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| USI of Georgia Inc |
Norfolk VA Allegation: Did not remit surplus lines taxes; no Iowa licensed producer; Resolution: Consent signed: Cease and desist conducting business until employee licensed in Iowa; pay $4500 Fine; and $500 Costs. Date of Order/Settlement: 2004-08-23 00:00:00 |
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| 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 |
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| Hermawan, Samuel |
Des Moines IA Allegation: Misappropriating monies; Using fraudulent coercive or dishonest practices; Demonstrating incompetence untrustworthiness or financial irresponsibility. Resolution: Decision issued and monetary penalty assessed. Date of Order/Settlement: 2008-10-17 00:00:00 |
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| Sonnichsen, Alan | 59400 |
Westport CT 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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| Lehman Brothers Inc | 58416 |
New York NY Allegation: Failed to exercise supervision over its associated persons; created or maintained inappropriate influences by investment banking over research analysts violated NASD and NYSE ethical standards Resolution: Consent: Cease and desist without admitting or denying the allegations; Pay $250000 Fine Date of Order/Settlement: 2004-02-12 00:00:00 |
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| 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 |
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| MemberSelect Insurance Company |
Dearborn MI Allegation: MemberSelect was making rate revisions charged for its Iowa Homeowners program. Resolution: Summary Order Disapproving premium rate changes. Date of Order/Settlement: 2007-08-07 00:00:00 |
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| Pipkin, Chris Howard | 58093 |
Cedar Rapids IA Allegation: Unlicensed investment advisor; Filed misleading Form U-4 Application; failure to report outside business activities; misrepresentations; omissions; effective transactions through deceptive means. Resolution: Order and Consent to Order and Agreement: 23 month bar on reapplying for an Iowa securities agent license; agrees to reimburse Division $1000 for costs incurred Date of Order/Settlement: 2005-01-26 00:00:00 |
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| McCain, Larry D. | 59311 |
Sioux City IA Allegation: Failure to cooperate Resolution: Consent signed: 2 yrs probation; cooperate with Divisions investigation into complaints; Pay $2500 Costs. Date of Order/Settlement: 2003-03-27 00:00:00 |
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| Wilcox, Travis |
Ankeny IA Allegation: Failing to comply with the terms of a consent order issued by the Insurance Commissioner Resolution: Proposed Decision issued and monetary penalty assessed. Date of Order/Settlement: 2009-07-08 00:00:00 |
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| Prchal, Jeremy |
Omaha NE Allegation: Failure to respond Resolution: License revoked. Date of Order/Settlement: 2006-08-18 00:00:00 |
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| Bratty, Brooke | 59315 |
Council Bluffs IA Allegation: Sale of unregistered securities and/or business opportunities; failure to cooperate in an investigation by the Insurance Division. Resolution: Order signed: Insurance license suspended; Pay $500 Fine; provide information to Iowa Ins. Div before suspension is lifted. Date of Order/Settlement: 2003-05-08 00:00:00 |
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| Kouri, John |
Urbandale IA Allegation: Forgery Resolution: Consent Order and monetary penalty Date of Order/Settlement: 2009-09-04 00:00:00 |
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| IDS Life Insurance Company |
Minneapolis MN Allegation: Failure to provide Free Look Period. Resolution: Order and Consent to Order - No monetary penalty assessed. Date of Order/Settlement: 2006-11-08 00:00:00 |
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| Standard Guaranty Insurance Company | 58490 |
Miami FL Allegation: Failure to cooperate with Divisions inquiry Resolution: Consent Signed: Provided response to Divisions inquiry; Paid $500 Fine Date of Order/Settlement: 2004-06-08 00:00:00 |
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| 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 |
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| Veenstra, Douglas |
Tracy IA Allegation: Appointment termination. Resolution: Consent Order issued; heightened supervision and probation for 1 year and a monetary penalty assessed. Date of Order/Settlement: 2008-05-02 00:00:00 |
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| Hubbard, Roderick D. | 58440 |
Buckeye AZ Allegation: Failure to notify Division of Administrative actions; Revocation of license by another state; failure to inform Division of address change; Resolution: Order signed: License revoked; pay $500 fine and $200 costs beore relicensure Date of Order/Settlement: 2005-08-19 00:00:00 |
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| Dolphin, Troy W. | 58828 |
Des Moines IA Allegation: Insurance application fraud Resolution: Consent Signed: Surrender Iowa insurance producer license; refrain from reapplying; refrain from violations of Iowa insurance laws or regulations. Date of Order/Settlement: 2003-10-07 00:00:00 |
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| Skaggs, Christopher |
Iowa City IA Allegation: Failure to disclose criminal history. Resolution: Order and Consent to Order; Civil penalty. Date of Order/Settlement: 2007-05-03 00:00:00 |
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| Chamley Financial LLC | 58058 |
Colorado Springs CO Allegation: Sold viatical settlement investment contracts while unregistered Resolution: Cease and desist issued to halt sale of unregistered securities Date of Order/Settlement: 2004-09-20 00:00:00 |
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| 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 |
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| Trenwick American Reinsurance Corporation |
Fairfield CT Allegation: Failure to respond Resolution: Consent issued and monetary penalty assessed. Date of Order/Settlement: 2009-01-23 00:00:00 |
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| Schatz, Kenneth |
Sioux City IA Allegation: Resolution: Order: license revocation rescinded Date of Order/Settlement: 2006-02-17 00:00:00 |
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| Revland, Markis K. | 59062 |
Arnolds Park IA Allegation: Failure to notify Iowa Ins. Division of other states prior actions Resolution: Order: Iowa Insurance license permanently revoked; Pay $5000 Fine; $500 Costs. Date of Order/Settlement: 2004-03-11 00:00:00 |
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| 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 |
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| Hartford Life Insurance Company |
Simsbury CT Allegation: Failure to respond to two separate inquiries related to a complaint received by the Division. Resolution: Consent Order signed and a monetary penalty assessed. Date of Order/Settlement: 2007-09-17 00:00:00 |
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| Hawkeye Life Insurance Group Inc | 58074 |
Des Moines IA Allegation: Failure to file annual financial report Resolution: Consent signed: Annual financial statement for 2003 filed agrees to timely comply with 191 IAC 5.25; pay $2000 Fine and $1000 Costs Date of Order/Settlement: 2005-04-11 00:00:00 |
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| Behn, John D. |
Cedar Rapids IA Allegation: Misrepresented life insurance documents in order to qualify for a personal loan. Resolution: Order and Consent to Order issued and a monetary penalty assessed. Date of Order/Settlement: 2007-12-20 00:00:00 |
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| Deel, Stephanie J. | 58128 |
Chesapeake VA Allegation: Incorrect information on License application; failure to notify Division of prior actions Resolution: Order: License revoked; $500 Fine; $200 Costs Date of Order/Settlement: 2005-05-23 00:00:00 |
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| Behnkendorf, Gerald D. | 58710 |
Algona IA Allegation: Improper sales of insurance products Resolution: Consent signed: Cease and desist from further violations; 2 years probation; report all consumer complaints to the Division within 30 days; pay $5000 costs. Date of Order/Settlement: 2003-06-30 00:00:00 |
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| Tyson, Gene |
North Liberty IA Allegation: Failure to comply with Other State Agency - DHS; Non-compliance w/order of Child Support Resolution: License suspended. Date of Order/Settlement: 2007-01-18 00:00:00 |
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| Spees, Lisa |
Keokuk IA Allegation: Using fraudulent or dishonest practices; failure to cooperate Resolution: Order: License revoked Date of Order/Settlement: 2004-07-15 00:00:00 |
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| 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 |
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| Foremost Insurance Company |
Caledonia MI Allegation: Allowed non-appointed producers to submit business. Resolution: Consent Order issued and assessed a monetary penalty. Date of Order/Settlement: 2008-07-16 00:00:00 |
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| Worldwide Insurance Services Inc | 58656 |
Oakton VA Allegation: Failure to notify Division of other states actions Resolution: Consent: Cease and desist violations; Pay $1750 Fine and $250 Costs Date of Order/Settlement: 2005-10-28 00:00:00 |
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| Revland, Markis K. | 59314 |
Arnolds Park IA Allegation: Failure to comply with previous order and failure to respond to Division inquiry Resolution: License suspended Date of Order/Settlement: 2004-01-07 00:00:00 |
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| Kerby, Stephan |
Clive IA Allegation: Advertising violation. Resolution: Order and Consent to Order signed; Civil penalty assessed. Date of Order/Settlement: 2007-06-12 00:00:00 |
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| UNUM Life Insurance Company of America | 58083 |
Portland ME Allegation: Multi State Market Conduct Exam for individual and group long term disability income claim handling practices. Resolution: Agreement: Implement changes in corporate governance; implement the Claim Reassessment Process; Provide initial notice to specified claimants; conduct employee training; pay fine to be allocated to participating regulators. Date of Order/Settlement: 2004-11-18 00:00:00 |
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| Stasney, Bobbi |
Boone IA Allegation: Criminal Proceedings Resolution: Order of Summary Suspension and Cease and Desist. Date of Order/Settlement: 2009-04-10 00:00:00 |
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| Johnson, Bradley |
Davenport IA Allegation: Failure to comply with Other State Agency - DHS; Non-compliance w/order of Child Support Resolution: Suspension Date of Order/Settlement: 2006-07-11 00:00:00 |
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| Halsband, Emily J. |
Clive IA Allegation: Conviction of two class "C" felonies Resolution: Consent signed: Iowa insurance license revoked permanently; barred from reapplying for a securities license in Iowa Date of Order/Settlement: 2004-03-31 00:00:00 |
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| 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 |