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.

Click to subscribe for an email update when new orders are added to this page.

 

Name Case Number Order Date Subject Entity Order
Bakker, Mark

Urbandale IA

Allegation: Misrepresented the terms of a life insurance policy to an Iowa resident.

Resolution: Consent Order signed. Civil penalty and costs assessed.

Date of Order/Settlement: 2007-06-11 00:00:00

Balboa Insurance Company

Irvine CA

Allegation: Failure to promptly respond to inquiries from the Commissioner

Resolution: Consent Order issued and monetary penalty assessed.

Date of Order/Settlement: 2009-03-24 00:00:00

Ball, Roger

Blair NE

Allegation: Failed to disclose previous administrative actions in his applications to become a non-resident Iowa Insurance producer.

Resolution: Consent Order issued and monetary penalty assessed.

Date of Order/Settlement: 2009-08-13 00:00:00

Baltes, John R. 84166 October 8, 2014 Insurance Producer

Order & Consent to Order

Bankers Life & Casualty Company 77064 November 16, 2012 Insurance Insurance Company

Regulatory Settlement Agreement

Bankers Life and Casualty Co. and BLC Financial Services, Inc. 77064 January 2, 2019 Securities Unlicensed

Amended Consent Order

Bankers Life and Casualty Company 58899

Chicago IL

Allegation: Advertising Violations

Resolution: Consent signed: Pay $9424 Fine; comply with Iowa advertising laws and regulations.

Date of Order/Settlement: 2003-06-02 00:00:00

Bankers Life and Casualty Company

Camel IN

Allegation: Market conduct; Misrepresentations and Violation of sales practices.

Resolution: Order and Consent to Order - Cease and Desist violations Implement the terms of the MOU Civil penalty of $100000.

Date of Order/Settlement: 2007-03-14 00:00:00

Bankers Life and Casualty Company 77064 November 6, 2012 Securities Unlicensed

Administrative Consent Order

Bankson, James P.

San Clemente CA

Allegation: Failure to report other states action

Resolution: Consent: Cease and desist violation of Iowa laws; Pay $125 Fine and $12 Costs.

Date of Order/Settlement: 2005-08-26 00:00:00

Bark, Michael

Gretna Louisiana

Allegation: Unregistered agent; unregistered securities; misrepresentations and omissions.

Resolution: Cease and Desist order issued and monetary penalty assessed.

Date of Order/Settlement: 2009-07-10 00:00:00

Barnes, Lloyd 59350

Omaha NE

Allegation: Used unlicensed agent/agents to solicit and procure applications for insurance; retained excess premium;signed application without authorization

Resolution: Consent signed: License revoked

Date of Order/Settlement: 2003-02-13 00:00:00

Barnett, Kevin

Louis MO

Allegation: Unregistered agent; Unregistered Securities; Omissions and Misrepresentations.

Resolution: Cease and Desist Order issued and a monetary penalty assessed.

Date of Order/Settlement: 2007-09-24 00:00:00

Barnett, Robert R. 59332

Salem IA

Allegation: Sale of unregistered securities and/or unregistered business opportunities

Resolution: Consent signed: 1 yr. probation; repay all commissions and/or finders fee payments $1400.

Date of Order/Settlement: 2003-02-10 00:00:00

Barns, Drew

Bloomington MN

Allegation: Used fraudulent coercive or dishonest practices or demonstrated incompetence untrustworthiness or financial irresponsibility in the conduct of business.

Resolution: Consent Order issued and insurance producer license revoked.

Date of Order/Settlement: 2008-08-05 00:00:00

Barry Golinvaux 104259 February 21, 2020 Insurance Producer

Order Reinstating License After Suspension

Barry Golinvaux 104259 February 17, 2020 Insurance Producer

Order for Suspension

Barry, Joseph D. 57911

Adel IA

Allegation: Unlicensed producer

Resolution: Consent signed: Cease and Desist in the sale of insurance; agrees not to reapply for a license

Date of Order/Settlement: 2000-09-08 00:00:00

Barth, Douglas N. 59294

Independence IA

Allegation: Misappropriation of premiums

Resolution: Order signed: License permanently revoked

Date of Order/Settlement: 2001-05-01 00:00:00

Basset, James N.

Algona IA

Allegation: Failure to pay child support

Resolution: License suspended

Date of Order/Settlement: 2005-07-29 00:00:00

Bates, David 58019

Barnum IA

Allegation: Acting as unregistered securities agent

Resolution: Order: Cease and desist acting as a securities agent without registration.

Date of Order/Settlement: 2004-04-20 00:00:00

Bauer, Debra J. 80039 September 12, 2013 Insurance Producer

Proposed Decision

Baxter, Raymond E. 59305

Ft. Madison IA

Allegation: Sale of unregistered securities and/or unregistered business opportunities

Resolution: Consent signed: 1 yr probation; repayment of commissions and finders fee payments $2695.

Date of Order/Settlement: 2003-02-10 00:00:00

BCS Insurance Company 97190 January 19, 2018 Insurance Insurance Company

Regulatory Settlement Agreement

Beaman, Sarah 75929 April 16, 2012 Insurance Producer

Order for Suspension

Beaman, Sarah E. 75929 October 17, 2016 Insurance Producer

Order Lifting Suspension After Suspension and Expiration and Order for Suspension

Bear Stearns & Co Inc 58415

New York NY

Allegation: Failed to reasonably supervise its employees to ensure that its analysts were adequately insulated from pressures and influences from covered companies and investment banking.

Resolution: Consent: without admitting or denying pay $250000 Fine.

Date of Order/Settlement: 2004-02-11 00:00:00

Beau, Robert 73973 March 27, 2012 Insurance Producer

Order for Suspension

Beck, Eric

Urbandale IA

Allegation: Failure to respond to investigation

Resolution: Order for Suspension of license

Date of Order/Settlement: 2006-04-28 00:00:00

Bedivere Insurance Company March 29, 2021 Insurance Insurance Company

Summary Order of Suspension

Behn, John D.

Cedar Rapids IA

Allegation: Misrepresented life insurance documents in order to qualify for a personal loan.

Resolution: Order and Consent to Order issued and a monetary penalty assessed.

Date of Order/Settlement: 2007-12-20 00:00:00

Behner, Fred A. 83393 July 11, 2014 Regulated Industries Preneed Sales Agent

Order & Consent to Order

Behner, Fred A. 83393 May 8, 2014 Regulated Industries Preneed Sales Agent

Order of Suspension for Good Cause

Behnkendorf, Gerald D. 58710

Algona IA

Allegation: Improper sales of insurance products

Resolution: Consent signed: Cease and desist from further violations; 2 years probation; report all consumer complaints to the Division within 30 days; pay $5000 costs.

Date of Order/Settlement: 2003-06-30 00:00:00

Behnkendorf, Gerald D.

Algona IA

Allegation: Unfair trade practices misrepresentation

Resolution: Consent signed: Cease and desist from further violations; 2 years probation; Report all consumer complaints against him within 30 days; Pay $5000 Costs.

Date of Order/Settlement: 2003-06-30 00:00:00

Beltramea, Randy L.

Mt. Vernon IA

Allegation: Failure to notify of administrative action

Resolution: Order: Insurance License revoked.

Date of Order/Settlement: 2005-10-06 00:00:00

Bene Markets, LLC 104797 April 15, 2020 Insurance Business Entity Producer

Order and Consent to Order

Benjamin Feick 109795 July 6, 2021 Insurance Producer

Order for Suspension

Benjamin Feick 109795 May 10, 2022 Insurance Producer

Order Reinstating License After Suspension

Bennett, Christine L. 85227 November 3, 2014 Insurance Producer

Order Reinstating License After Suspension and Order for Suspension

Benton, Pamela 79181 April 30, 2013 Insurance Producer

Order for Suspension; Order Reinstating License After Suspension

Bergen, Bruce

Marion IA

Allegation: Failure to Respond to Division Inquiries

Resolution: Decision issued and a monetary penalty assessed.

Date of Order/Settlement: 2009-01-16 00:00:00

Berkshire Hathaway Specialty Insurance Company and National Indemnity Company 97193 January 19, 2018 Insurance Insurance Company

Regulatory Settlement Agreement

Berry, Rodney D. 76741 August 10, 2012 Insurance Producer

Proposed Decision

Berry, Rodney D. 76741 April 25, 2012 Insurance Producer

Order of Summary Suspension and Notice of Opportunity for Hearing 

Bertsch, Kristoffer

Wilmington DE

Allegation: Failure to respond.

Resolution: Order - License revoked.

Date of Order/Settlement: 2006-08-18 00:00:00

Bessine, Dustin

Burlington IA

Allegation: Failure to comply with Other State Agency - DHS; Non-compliance w/order of Child Support

Resolution: License is suspended

Date of Order/Settlement: 2007-03-05 00:00:00

Bianchi, Rick 83029 October 14, 2014 Insurance Producer, Securities Agent

Order & Consent to Order

Bibb, Carl M.

Elkhorn NE

Allegation: Failure to notify Division of other states administrative action within 30 days

Resolution: Consent: Cease and desist; pay $250 Fine and $250 Costs

Date of Order/Settlement: 2005-07-26 00:00:00

Biede, David R. 83233 February 5, 2015 Insurance Producer

Order & Consent to Order