Enforcement Orders and Actions
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 Sort descending | Case Number | Enforcement Date | Subject | Entity | Order |
|---|---|---|---|---|---|
| American Motorists Insurance Company | 80462 | June 3, 2013 | Insurance | Insurance Company | Suspension Order |
| American Service Insurance Company | February 20, 2020 | Insurance | Insurance Company | Summary Order of Suspension |
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| American Service Insurance Company - NAIC # 42897 | May 9, 2022 | Insurance | Insurance Company | Order Reinstating Certificate of Authority After Suspension |
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| Americas Insurance Company | 71723 | August 15, 2011 | Insurance | Insurance Company | Order and Consent to Order |
| Ameritas Investment Corporation | 78986 | May 5, 2014 | Securities | Broker Dealer, Securities Agent | Order & Consent to Order |
| Amerivision Communications Inc | Oklahoma City OK Allegation: Sale of unregistered securities Resolution: Cease and Desist the offer or sale of unregistered securities and non-exempt securities Date of Order/Settlement: 2004-05-03 00:00:00 |
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| Anania, Milton | 70558 | April 13, 2011 | Insurance | Producer | Order and Consent to Order |
| 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 |
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| Andersen, Elizabeth | Fort Dodge IA Allegation: Reconsideration Resolution: Amendment to Order and Consent to Order Date of Order/Settlement: 2009-07-21 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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| Anderson, Gary B. | 84169 | October 8, 2014 | Insurance | Producer | Order for Suspension |
| Anderson, Neil R. | 58045 | Dixon IA Allegation: Using fraudulent or dishonest practices; failure to cooperate in an investiagion by commissioner Resolution: Order signed: License revoked Date of Order/Settlement: 2004-10-06 00:00:00 |
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| Anderson, Paul A. | 59598 | Alta IA Allegation: Failure to respond to IID inquiry; failure to remit premiums Resolution: Consent Signed: License surrendered; cooperate with investigation. Date of Order/Settlement: 2002-07-19 00:00:00 |
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| Anderson, Thomas K. | Davenport IA Allegation: Failure to comply with Other State Agency - DHS; Non-compliance w/order of Child Support. Resolution: Iowa Insurance Producer License suspended. Date of Order/Settlement: 2007-04-23 00:00:00 |
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| Andreasen, Arnie Paul | 82902 | June 27, 2014 | Insurance | Unlicensed | Summary Cease and Desist Order |
| Andrew Lee | 103018 | November 5, 2019 | Insurance | Producer | Order and Consent to Order |
| Andrew R. Dougherty | 107097 | March 9, 2021 | Insurance | Producer, Securities Agent | Order and Consent to Order |
| Andrew W. Joyce, Joyce Funeral Home, Inc., and Joyce-Alesch Funeral Home | 103385 | October 17, 2019 | Regulated Industries | Preneed Sales Agent, Preneed Seller, Unlicensed | Summary Cease and Desist Order |
| 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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| Andrews, Ronald Anthony (Tony) | 83390 | May 30, 2014 | Regulated Industries | Preneed Sales Agent | Order and Consent to Order |
| Andrews, Ronald Anthony (Tony) | 83390 | May 8, 2014 | Regulated Industries | Preneed Sales Agent | Order of Suspension for Good Cause |
| Angela Taylor | 105364 | May 21, 2020 | Insurance | Producer | Order for Suspension |
| Annie Q. Ye | 105208 | May 6, 2020 | Insurance | Producer | Order for Suspension |
| Annuity Investors Life Insurance Company | 91868 | August 31, 2016 | Insurance | Insurance Company | Regulatory Settlement Agreement |
| Anthony Fitz | 95616 | October 4, 2018 | Insurance | Producer | Order and Consent to Order |
| Anthony Fitz | 95616 | August 16, 2019 | Insurance | Producer | Order for Revocation and Civil Penalties |
| Antoine Parker | 97583 | May 16, 2018 | Insurance | Producer | Order for Suspension |
| Applegate, William B. | 59000 | Leon IA Allegation: Resolution: Consent signed: Voluntary Suspension of license; Pay $400 Fine; $100 Costs Date of Order/Settlement: 2002-09-10 00:00:00 |
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| April Aries Anderson | 100395 | May 31, 2019 | Insurance | Producer | Default Order, Findings of Fact, Conclusions of Law and Order |
| Arch Insurance Company | 97189 | January 19, 2018 | Insurance | Insurance Company | Regulatory Settlement Agreement |
| Arey, Chad | Des Moines IA Allegation: Misrepresentation on license renewal application Resolution: Order & Consent to Order; paid civil penalty and costs. Date of Order/Settlement: 2006-10-09 00:00:00 |
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| Arey, Chad C. | 89551 | May 2, 2016 | Insurance | Producer | Order Reinstating License After Suspension, Order for Suspension following denial of Petition, Order Vacating Suspension, & Order for Suspension |
| Armstrong, Pamela | 70284 | April 13, 2012 | Insurance | Producer | Appeal Decision |
| Armstrong, Pamela | 11IID012 | October 14, 2011 | Insurance | Producer | Proposed Decision |
| Arnie Paul Andreasen | 82902 | October 13, 2014 | Insurance | Unlicensed | Order and Consent to Order |
| Artz, Scott | 59395 | Sarasota FL Allegation: Failure to notify of other states action Resolution: Order; License revoked; $250 fine Date of Order/Settlement: 2005-12-22 00:00:00 |
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| Ash, Jeffrey A. | 84548 | September 11, 2014 | Insurance | Producer | Order & Consent to Order |
| Assurant, Inc. | 93555 | January 25, 2017 | Insurance | Insurance Company | Regulatory Settlement Agreement |
| Atwood, Thomas | 77658 | October 12, 2012 | Insurance | Producer | Order for Suspension |
| Augustine, Amanda | 58630 | Streator IL 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: 2005-04-27 00:00:00 |
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| Austin Norris | 95677 | October 10, 2018 | Securities, Insurance | Producer, Securities Agent | Order and Consent to Order |
| Avera Health Plans Inc | Sioux Falls SD Allegation: Avera had not filed a sample notification of a members right to have an external review following a claim denial. Resolution: Consent Order signed and monetary fines and costs assessed. Date of Order/Settlement: 2007-09-11 00:00:00 |
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| Aviva USA | Des Moines IA Allegation: allow unauthorized withdrawals from annuity trust. Resolution: Consent Order issued. Date of Order/Settlement: 2008-05-01 00:00:00 |
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| AXA Equitable Life Insurance Company | 89608 | December 18, 2015 | Insurance | Insurance Company | Regulatory Settlement Agreement |
| AXA Insurance Company | July 17, 2019 | Insurance | Insurance Company | Order and Consent to Order |
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| Ayala, Adriane | 58944 | Savannah GA Allegation: Failure to report prior disciplinary action Resolution: Order: License suspended until $400 Fine and $100 Costs paid Date of Order/Settlement: 2001-11-07 00:00:00 |
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| Baccam, Phoukam | Des Moines IA Allegation: Failure to respond Resolution: License suspended. Date of Order/Settlement: 2006-06-20 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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| Bahls, David R. | 58483 | Elkader IA Allegation: Criminal record Resolution: Consent signed: 2 yrs probation; report any criminal prosecution within 30 days. Date of Order/Settlement: 2004-04-05 00:00:00 |
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| Baker, Jeffrey M. | 85653 | February 3, 2015 | Insurance | Producer | Order Reinstating License After Suspension & Order for Suspension |