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 | Enforcement Date | Subject | Entity | Order |
|---|---|---|---|---|---|
| Nathan Wobbema | 105585 | July 2, 2020 | Insurance | Producer |
Order for Suspension |
| Nation, Julie | 88416 | October 25, 2016 | Insurance | Producer |
Order Reinstating License After Suspension and Order for Suspension |
| Nation, Julie Ann | 88416 | October 20, 2015 | Insurance | Producer |
Order for Suspension |
| 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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| National Foundation of America |
Franklin TN Allegation: Unauth Insurer; Fail to disclose to policyholders that NFA is not a tax exempt organization; Mislead sales presentations; False Advertising; Unlawful solicitation of insurance business; Unsuitable transactions or recommendations; Unreg securities. Resolution: Consent Order signed; cease and desist violations. Date of Order/Settlement: 2007-07-26 00:00:00 |
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| National General Holding Corporation | 94417 | March 1, 2017 | Insurance | Insurance Company |
Regulatory Settlement Agreement |
| National Prearranged Services Inc |
St. Louis MO Allegation: Insolvency Resolution: Consent Order issued and preneed seller license is suspended. Date of Order/Settlement: 2008-03-24 00:00:00 |
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| National Union Fire Insurance Company of Pittsburgh PA. |
New York NY Allegation: Violation of Claims - Prompt payment of claims. Resolution: Consent Order issued; penalty assessed and ordered to pay 10% interest to insured for period beginning June 24 2007 thru October 11 2007. Date of Order/Settlement: 2008-04-23 00:00:00 |
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| National Union Fire Insurance Company of Pittsburgh PA. | 91146 | May 23, 2016 | Insurance | Insurance Company |
Order Regarding Examination |
| Nationwide Financial Services, Inc | 78284 | October 15, 2012 | Insurance | Insurance Company |
Regulatory Settlement Agreement |
| Nationwide Life Insurance Company |
Columbus OH Allegation: Failure to cooperate in an invesitigation. Resolution: Consent Order - Civil penalty and costs imposed and response received for the Divisions inquiries. Date of Order/Settlement: 2007-06-05 00:00:00 |
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| Nationwide Mutual Insurance Company | 97194 | January 19, 2018 | Insurance | Insurance Company |
Regulatory Settlement Agreement |
| NCCI Filing E-1402 | 72766 | December 27, 2011 | Insurance |
Findings of Fact, Conclusions of Law, and Order |
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| NCMIC Insurance Company | 58726 |
Des Moines IA Allegation: Failure to file notice of dividends Resolution: Consent signed: List dividends from 1/1/00 to present; Report list of dividends to shareholders within timeframe parameters of declaration; Pay $1500 Fine; $500 Costs Date of Order/Settlement: 2003-07-03 00:00:00 |
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| Neal, Tomica | 76454 | July 13, 2012 | Insurance | Producer |
Order for Suspension |
| Neighbor, Eldon L. | 58829 |
Alburnett IA Allegation: Permitted unlicensed person to sell commercial policies; Resolution: Consent signed: License suspended for 30 days; 1 year probation ending 1 year from the end of suspension; Pay $5368.50 fine; Pay $500 Costs; Confirm with policyholders policy meets their needs; pay any additional premiums needed. Date of Order/Settlement: 2003-10-24 00:00:00 |
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| Neighbor, Mark A. | 58830 |
Alburnett IA Allegation: Selling without proper license Resolution: Consent signed: License suspended for 30 days; 1 year probation ending one year from end of suspension date; Pay fine $5368.50; Pay costs $500; Confirm with policyholders policy meets the needs; Pay any additional premiums needed. Date of Order/Settlement: 2003-10-24 00:00:00 |
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| Nelson, Bruce |
Urbandale IA Allegation: Challenges the summary order denying securities agent registration. Resolution: Decision - denial of securities registration upheld. Date of Order/Settlement: 2006-09-08 00:00:00 |
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| Nelson, Christine R. | 86713 | July 30, 2015 | Regulated Industries | Unlicensed |
Order |
| Nelson, Gary |
Tarpon Springs FL Allegation: Unregistered securities Unregistered agent Ommissions and Misrepresentations. Resolution: Order and Consent to Order signed. Civil penalty imposed in Cease & Desist is vacated. Date of Order/Settlement: 2007-02-07 00:00:00 |
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| Nelson, Judith |
Tarpon Springs FL Allegation: Unregistered securities Unregistered agent Ommissions and Misrepresentations. Resolution: Order and Consent to Order signed. Civil penalty imposed in Cease & Desist is vacated. Date of Order/Settlement: 2007-02-07 00:00:00 |
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| NevadaCare d/b/a Iowa Health Solutions Inc |
Las Vegas NV Allegation: Failure or refusal to submit to a peer review; Fail to file or properly complete an application foe renewal of cert of authority; Fail to file or complete a premium tax return Resolution: Order and Consent to Order issued. NevadaCare will voluntarily withdraw its registration and not transact or solicit business in the state for a period of 5 years. Date of Order/Settlement: 2008-10-31 00:00:00 |
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| New York Life Insurance Company | 81680 | October 29, 2013 | Insurance | Insurance Company |
Regulatory Settlement Agreement |
| Newburn, Kenneth B. | 89034 | January 6, 2016 | Insurance | Producer |
Order Reinstating License After Suspension & Order for Suspension |
| Newkirk, Timothy | 59396 |
De Pere WI 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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| Newman, Scott A. | 91936 | April 28, 2017 | Insurance | Producer |
Order Reinstating License After Suspension |
| Nguyen, Alven | 10DOCID023 | October 14, 2010 | Insurance | Producer |
Proposed Decision; Appeal Decision |
| Nguyen, Paul J. | 84705 | August 28, 2014 | Insurance | Producer |
Order for Suspension |
| Nicholas Stewart | 103647 | November 25, 2019 | Insurance | Producer |
Order for Suspension |
| Nicholas T. Ryan | 88260 | December 7, 2020 | Insurance | Producer |
Order Following License Suspension and Expiration |
| Nielsen, Larry | 71121 | December 7, 2011 | Insurance | Producer |
Order for Suspension; Order Reinstating License After Suspension |
| Nielsen, Nancy |
Marcus IA Allegation: Incorrectly completed a policy application and failed to execute the policyholders intentions. Resolution: Consent Order signed and civil penalty assessed. Date of Order/Settlement: 2007-08-28 00:00:00 |
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| Nielsen, Virginia E. | 59482 |
Marshalltown IA Allegation: Selling unregistered securities Resolution: Consent Signed: Agrees to solicit and sell only insurance products offered in Iowa by authorized and admitted insurance carriers; Cease and Desist with the offer and sale of unregistered securities and promissory notes Date of Order/Settlement: 2002-11-25 00:00:00 |
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| Nissen, Laura L. | 83459 | September 8, 2014 | Regulated Industries | Preneed Sales Agent |
Order & Consent Order |
| Noaker, Steven | 73967 | March 27, 2012 | Insurance | Producer |
Order for Suspension |
| Norris, Kara | 58737 |
Lincoln NE Allegation: Returned check for services Resolution: Order signed: License suspended indefinitely; Pay for services; Pay $100 Fine Date of Order/Settlement: 2003-09-22 00:00:00 |
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| Norris, Steven T. | 76447 | March 20, 2012 | Insurance | Producer |
Order and Consent to Order |
| Northrop, Kenneth |
Floyd IA Allegation: Named as a beneficiary on a policy of an unrelated policyholder Resolution: Consent: Cease and desist violation; 1 year probation; repay to the estate the amount received Date of Order/Settlement: 2005-09-12 00:00:00 |
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| Nulph, Michael | 94689 | November 17, 2017 | Insurance |
Decision Refusing to Issue a Resident Insurance Producer License |
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| Nunnikhoven, Carl F. | 59731 |
Oskaloosa IA Allegation: Replacement violations Resolution: Consent Signed: 1 yr probation; $750 Fine; $250 Costs Date of Order/Settlement: 2002-01-17 00:00:00 |
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| Nutrition and Wellness Research Institute Inc (NWRI) |
Evansdale IA Allegation: Misrepresentation; sale of unregistered non exempt securities; employing unregistered agents; made untrue statements of material facts; omissions of material facts in the sale. Resolution: Orders: Cease and desist the offer or sale of unregistered non exempt securities employing unregistered agents to solicit in Iowa making untrue statements of material facts; omission of material facts. Date of Order/Settlement: 2004-07-01 00:00:00 |
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| O'Brien, Travis | 91302 | September 16, 2016 | Insurance | Producer |
Order Reinstating License After Suspension and Order for Suspension |
| Oak Hill Cemetery Association | 85352 | September 23, 2014 | Regulated Industries | Other |
Consent Order & Civil Penalty |
| Ober, Dennis J. | 59048 |
Des Moines IA Allegation: Sale of unregistered securities and/or business opportunities Resolution: Consent signed: License probation until 7/1/07; repay all commissions and/or finders fees of $41940; Pay $1000 Costs; sell only approved insurance and securities products. Date of Order/Settlement: 2004-01-08 00:00:00 |
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| Oberheim, Maria A. | 82828 | May 15, 2014 | Insurance | Producer |
Order for Suspension |
| Oberly, Linda | 77639 | October 11, 2012 | Insurance | Producer |
Order for Suspension |
| Oberreuter, Sheryl |
Norway IA Allegation: Issued retroactive coverage. Resolution: Order and Consent to Order - Suspension of insurance producer license for 60 days; Civil Penalty and Costs were assessed. Date of Order/Settlement: 2007-02-21 00:00:00 |
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| Ochsendorf, Christian | 83115 | September 25, 2014 | Insurance | Producer |
Order & Consent to Order |
| 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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| OConnor Jr., Jerome J. |
Omaha NE Allegation: Forgery; use of fraudulent coercive or dishonest practices Resolution: Order signed: License permanently revoked Date of Order/Settlement: 2004-08-27 00:00:00 |