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
Philadelphia Indemnity Insurance Company 58897

Bala Cynwyd PA

Allegation: Failure to respond to Divisions inquiry

Resolution: Consent signed: Respond to Divisions inquiry; pay $500 Fine; $100 Costs

Date of Order/Settlement: 2003-06-27 00:00:00

Phillips, Dale 76804 July 23, 2012 Insurance Producer

Order for Suspension; Order Reinstating License After Suspension

Pierce, James W. 82901 July 2, 2014 Insurance Unlicensed

Order & Consent Order

Pierce, Judith

Independence IA

Allegation: Used funds to pay herself and certain persons funds to which they were not entitled and failed to follow a direct Order of the Commissioner.

Resolution: Consent Order issued and Producer License surrendered.

Date of Order/Settlement: 2009-05-29 00:00:00

Pierce, Roger D. 79155 April 3, 2013 Insurance Producer

Default Order

Pinansky, Donald Ira 85163 March 2, 2015 Insurance Unlicensed

Summary Order to C&D by Consent and Statement of Charges

Pinansky, Sporn et al 85163 September 24, 2015 Insurance Business Entity Producer, Producer, Unlicensed

Consent Order to Cease and Desist and Other Relief as to Respondents Pinansky, Dylan Sporn, Marc Sporn, Consolidated USA Insurance, Inc., and Amerco Group, Inc.

Pingel, Pamela 77817 March 26, 2013 Insurance Producer

Proposed Decision

Pipkin, Chris Howard 58093

Cedar Rapids IA

Allegation: Unlicensed investment advisor; Filed misleading Form U-4 Application; failure to report outside business activities; misrepresentations; omissions; effective transactions through deceptive means.

Resolution: Order and Consent to Order and Agreement: 23 month bar on reapplying for an Iowa securities agent license; agrees to reimburse Division $1000 for costs incurred

Date of Order/Settlement: 2005-01-26 00:00:00

Pleggenkuhle, Jason E. 59446

Des Moines IA

Allegation: Failure to notify of other administrative action

Resolution: Consent Signed: Permanent License revocation

Date of Order/Settlement: 2001-07-10 00:00:00

PMI Mortgage Insurance Company November 16, 2011 Insurance Insurance Company

Suspension Order

Poe, Jimmy 70930 June 16, 2011 Insurance Unlicensed

Order and Consent to Order

Polcyn, James

Ft. Lauderdale FL

Allegation: Unlicensed sale of Insurance.

Resolution: Cease and Desist order; Civil penalty assessed.

Date of Order/Settlement: 2006-12-28 00:00:00

Pontow, Thomas 82638 March 14, 2014 Insurance Producer

Order & Consent to Order

Porterfield III, Herlen C. 58037

Lansdowne PA

Allegation: Providing incorrect information on License Application; conviction of a velony revocation of license in another state; failure to cooperate in investigation by commissioner

Resolution: Order: License revoked

Date of Order/Settlement: 2004-09-13 00:00:00

Praul, Allen D. 58123

Bettendorf IA

Allegation: Unregistered securities agent; Selling unregistered securities; Misrepresentations and omissions in the sale of securities

Resolution: Cease and desist order in the sale of unregistered securities by an unregistered agent

Date of Order/Settlement: 2005-03-22 00:00:00

Praul, Allen D. 58123

Bettendorf IA

Allegation: Sale of unregistered securities; omitting material facts/ information; misstatements of material facts; practice to defraud; unregistered as a securities agent; unsuitable sales; exerted undue influence over clients.

Resolution: Consent signed: insurance license revoked; permanently barred from reapplying; permanently barred from applying for securities license.

Date of Order/Settlement: 2005-06-21 00:00:00

Prchal, Jeremy

Omaha NE

Allegation: Failure to respond

Resolution: License revoked.

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

Premium Income Corporation 58124

Seattle WA

Allegation: Sale of unregistered securities in Iowa; misrepresentations and omissions in the sales of unregistered securities

Resolution: Cease and desist order in the sale of unregistered securities by an unregistered agent.

Date of Order/Settlement: 2005-03-22 00:00:00

Preneed Sellers and Sale Agents 94918 April 30, 2020 Regulated Industries Preneed Sales Agent, Preneed Seller

Second Order Extending Annual Report Deadline and License Expiration 

Preneed Sellers and Sale Agents 94918 March 31, 2020 Regulated Industries Preneed Sales Agent, Preneed Seller

Order Extending Annual Report Filing Deadline and License Expiration

Preszler, Carol V. 57986

Aberdeen SD

Allegation: Failure to respond to Ins. Div.; Failure to report Administrative Action

Resolution: Consent Signed: License revocation

Date of Order/Settlement: 2000-10-25 00:00:00

Pribil, John W. 83575 August 11, 2014 Insurance Producer

Default Order of Revocation, Cease and Desist and Civil Penalty 

Pride National Insurance Company March 20, 2013 Insurance Insurance Company

Suspension Order

Priest, Harry A. 59336

Avoca IA

Allegation: Sale of unregistered securities and/or business opportunities

Resolution: Consent signed: 1 yr probation; restitution to investors of $8400; sell only approved insurance or securities products.

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

Privolos, George T. 59368

Bloomington IL

Allegation: Provided incorrect information on license application

Resolution: Order: License revoked; Pay $500 Fine and $200 Costs before relicensure

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

Proactive Indemnity Corp, AKA Proactive Financial Corp., AKA Contingent Cargo Co., Ahmed Badrus Salam, AKA Josh Capello, Umer M. Masood, AKA Josh Capello 98458 July 3, 2018 Insurance Unlicensed

Summary Cease and Desist Order

ProEquities, Inc 77065 November 16, 2012 Securities Broker Dealer

Administrative Consent Order

Prosapia Financial LLC; Prosapia Capital Management LLC; Alan Lucas; Robyn Renee Palmer 68806 January 28, 2011 Securities Unlicensed

Cease and Desist Order; Proposed Decision

Provident Life and Accident Insurance Company 58134

Chattanooga TN

Allegation: Multi State Market Conduct Exam for individual and group long term disability income claim handling practices.

Resolution: Agreement: Implement changes in corporate governance; implement the Claim Reassessment Process; Provide initial notice to specified claimants; conduct employee training; pay fine to be allocated to participating regulators.

Date of Order/Settlement: 2004-11-18 00:00:00

Provident Life and Casualty Insurance Company 58135

Chattanooga TN

Allegation: Multi State Market Conduct Exam for individual and group long term disability income claim handling practices.

Resolution: Agreement: Implement changes in corporate governance; implement the Claim Reassessment Process; Provide initial notice to specified claimants; conduct employee training; pay fine to be allocated to participating regulators.

Date of Order/Settlement: 2004-11-18 00:00:00

Public Service Insurance Company May 3, 2018 Insurance Insurance Company

Summary Order of Suspension

Puget Sound Agricultural Society 59737

Arbuckle CA

Allegation: Conducting business of insurance in Iowa without a license; other states actions.

Resolution: Order on Default: Order to Cease and Desist issued on 1/22/02 is final; Cease and desist from the offer or sale of and operation of unauthorized insurer; $50000 civil penalty

Date of Order/Settlement: 2002-02-20 00:00:00

QBE Holdings, Inc. 96691 December 8, 2017 Insurance Insurance Company

Regulatory Settlement Agreement

Quanaijha Spradley 104797 April 16, 2020 Insurance Producer

Order and Consent to Order

Quast, Steven J. 83429 May 8, 2014 Regulated Industries Preneed Sales Agent

Order of Suspension for Good Cause

Quast, Steven Jon 83429 May 28, 2014 Regulated Industries Preneed Sales Agent

Order & Consent Order

R&Q Reinsurance Company 70099 April 27, 2011 Insurance Insurance Company

Order and Consent to Order

Rader-Smith, Michelle D. 86805 May 5, 2015 Insurance Producer

Order for Suspension

Raines, John E. 59508

Fairfield IA

Allegation: Marketing and sales violations

Resolution: Consent Signed: Cease and desist; 2 yrs probation; assist IID’s investigation; Return 10% of investment to clients

Date of Order/Settlement: 2001-04-05 00:00:00

Rainey, Leland 65834 February 24, 2011 Insurance Unlicensed

Order and Consent to Order

Rampart Insurance Company May 20, 2021 Insurance Insurance Company

Order and Consent to Order

Ramsden, Mark A. 83430 May 8, 2014 Regulated Industries Preneed Sales Agent

Order of Suspension for Good Cause

Ramsden, Mark A. 83430 June 24, 2014 Regulated Industries Preneed Sales Agent

Order & Consent to Order

Randy Rudolph 99309 October 24, 2018 Insurance Producer

Order for Suspension

Randy Rudolph 95133 January 2, 2018 Insurance Producer

Order Reinstating License After Suspension

Range, Lord Stephen A. 92643 December 6, 2016 Insurance Producer

Order for Suspension

Range, Lord Stephen A. 89632 April 22, 2016 Insurance Producer

Order Reinstating License After Suspension and Order for Suspension

Ray Jr., Rayna 58582

San Francisco CA 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

Raymond James & Associates, Inc 72282 September 17, 2012 Securities Broker Dealer

Administrative Consent Order