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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Nulph, Michael 94689 November 17, 2017 Insurance

Decision Refusing to Issue a Resident Insurance Producer License

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

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

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

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

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

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