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 |
|---|---|---|---|---|---|
| Morgan Asset Management, Inc; Morgan Keegan & Company, Inc. | 71514 | July 27, 2012 | Securities | Broker Dealer, Investment Adviser |
Administrative Consent Order |
| Morgan Stanley & Co Inc | 58417 |
New York NY Allegation: Failed to exercise supervision over 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 findings of fact or conclusions of law; pay $250000 Fine Date of Order/Settlement: 2004-02-17 00:00:00 |
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| Morgan Stanley & Co. Inc |
New York NY Allegation: Sale of Unregistered Securities Resolution: Findings of Fact Conclusions of Law Consent Order issued and a monetary penalty assessed. Date of Order/Settlement: 2008-05-06 00:00:00 |
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| Morman, Chantelle | 77955 | November 21, 2012 | Insurance | Producer |
Order for Suspension |
| Moscoso, Luis |
Dubuque IA Allegation: Unauthorized Insurer; Failure to disclose to policyholders that NFA is not a tax exempt organization; Misleading sales presentations; Unlawful solicitation of insurance business; Unsuitable transactions or recommendations. Resolution: Consent Order signed: Insurance producer license is revoked and is permanently barred from reapplying for insurance license or applying for a securities agent license or investment advisor representative license. Date of Order/Settlement: 2007-08-21 00:00:00 |
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| Mulhern, Theresa | 73013 | February 17, 2012 | Securities | Unlicensed |
Consent Order |
| Murdoch Funeral Homes, Inc. | 86759 | March 18, 2015 | Regulated Industries | Preneed Seller |
Consent Order |
| Murphy, Liliana | 59541 |
San Antonio TX Allegation: Failure to notify of other state's actions; Failure to respond Resolution: Order signed: License revoked; $200 Fine; $100 Costs Date of Order/Settlement: 2001-05-31 00:00:00 |
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| Murphy, Michael J. |
Deephaven MN Allegation: Failure to report other states action. Resolution: Order and Consent to Order and Agreement issued and a monetary penalty assessed. Date of Order/Settlement: 2008-01-09 00:00:00 |
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| Murphy, Michael S. | 59073 |
Elizabeth City NC Allegation: Violations of Iowa uniform Securities Act: Misrepresentations; Omissions Resolution: Order: Cease and Desist making untrue statements of material facts in the offer or sale of securities; from omitting misleading material facts; assessed $10000 civil penalty. Date of Order/Settlement: 2004-02-12 00:00:00 |
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| Muse, Donald | 78710 | January 15, 2012 | Insurance | Producer |
Order for Suspension |
| Mutual Med Insurance Services, LLC | 95687 | November 20, 2017 | Insurance | Business Entity Producer |
Order and Consent to Order |
| Mutual of Omaha Insurance Company | 59345 |
Omaha NE Allegation: Failure to comply with requirements of external review procedure Resolution: Consent signed: Pay $500 Fine Date of Order/Settlement: 2003-11-26 00:00:00 |
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| Mutual Service Life Insurance Company | 58487 |
Arden Hills MN Allegation: Failure to respond to Division inquiry Resolution: Consent: Provide substantive response; pay $500 Costs Date of Order/Settlement: 2004-05-14 00:00:00 |
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| Nancy Ann Swenson (aka Hoogendoorn) | 110512 | August 25, 2021 | Insurance | Producer |
Order for Suspension |
| Nathan W. Garrett | 110274 | August 11, 2021 | Insurance | Producer |
Order for Suspension |
| 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 D. Garman | 111777 | December 2, 2021 | Insurance | Producer |
Order and Consent to Order |
| 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 |