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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

American Service Insurance Company - NAIC # 42897 May 9, 2022 Insurance Insurance Company

Order Reinstating Certificate of Authority After Suspension

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

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

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

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

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

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

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

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

Andrews, Ronald Anthony (Tony) 83390 May 8, 2014 Regulated Industries Preneed Sales Agent

Order of Suspension for Good Cause

Andrews, Ronald Anthony (Tony) 83390 May 30, 2014 Regulated Industries Preneed Sales Agent

Order and Consent to Order

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

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

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 11IID012 October 14, 2011 Insurance Producer

Proposed Decision

Armstrong, Pamela 70284 April 13, 2012 Insurance Producer

Appeal 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

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

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

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

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

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

Baccam, Phoukam

Des Moines IA

Allegation: Failure to respond

Resolution: License suspended.

Date of Order/Settlement: 2006-06-20 00:00:00

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

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

Baker, Jeffrey M. 85653 February 3, 2015 Insurance Producer

Order Reinstating License After  Suspension & Order for Suspension