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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Prchal, Jeremy

Omaha NE

Allegation: Failure to respond

Resolution: License revoked.

Date of Order/Settlement: 2006-08-18 00:00:00

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

Kouri, John

Urbandale IA

Allegation: Forgery

Resolution: Consent Order and monetary penalty

Date of Order/Settlement: 2009-09-04 00:00:00

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

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

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

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

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

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

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

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

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

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

Schatz, Kenneth

Sioux City IA

Allegation:

Resolution: Order: license revocation rescinded

Date of Order/Settlement: 2006-02-17 00:00:00

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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