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
Seibald, Jack

Hewlett Harbor NY

Allegation: Prior regulatory action

Resolution: Summary Order Denying Application for Securities Agent License.

Date of Order/Settlement: 2009-02-06 00:00:00

Selby-Kirsch Funeral Service, Inc & Kirsch, Michael D. 73103 March 21, 2013 Regulated Industries Preneed Sales Agent, Preneed Seller

Order & Consent to Order

Selected Market Insurance Group, LLC 85163 August 28, 2015 Insurance Third Party Administrator

Consent Order as to Respondent Selected Market Insurance Group LLC.

Sell, Steven J. 58419

Omaha NE

Allegation: Forgery of signature on a transfer document

Resolution: Consent Signed: Cease & desist from violation of IA insurance or securities laws; 2 yr probation; 2 yr supervision and review; pay $1000 Fine and $250 Costs

Date of Order/Settlement: 2004-02-27 00:00:00

Semon, Roy L. 58680

Sergeant Bluff IA

Allegation: Advertising violations

Resolution: Consent signed: 2 yr probation; $500 Fine and $200 Costs paid.

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

Senior Direct, Inc. 92544 November 7, 2016 Insurance

Order and Consent to Order

Senior Health Insurance Company of Pennsylvania July 8, 2019 Insurance Insurance Company

Order and Consent to Order

Sensor, Edward L.

Sterling IL

Allegation: Unlicensed insurance producer; twisting; misrepresentations;suitability; personal loan; lack of character and competence;

Resolution: Cease and Desist Order: the offer or sale of unregistered securities; lending or borrowing money or securities from an unrelated customer; making untrue statements of material facts; omission of material facts; $5000 Fine.

Date of Order/Settlement: 2004-03-30 00:00:00

Sensor, Edward Lee

Sterling IL

Allegation: Unlicensed Insurance Producer; Twisting Policies; Misrepresentations in insurance applications; Suitability; Personal Loan from unrelated insurance customer; lack of character and competence

Resolution: Order: Adjudged to have committed the violations; Cease and desist from any further actions as set forth in the Statement of Charges; Assessed $2000 fine and $500 costs.

Date of Order/Settlement: 2004-05-24 00:00:00

Serati, Stephen 78901 July 30, 2013 Insurance Producer

Order for Suspension; Order Reinstating License After Suspension

Sessions, Charles 73409 April 12, 2012 Insurance Producer

Suspension Order; Order Reinstating License After Suspension

Sessions, Christopher 78212 November 13, 2012 Insurance Producer

Order for Suspension

Sferrazza, Angelo and IL Bridge Fund LLC 72127 September 26, 2011 Securities Unlicensed

Stop Order, Cease and Desist Order; Agreement Order, Consent to Order

Shad N. Clayton 68943 September 7, 2017 Insurance Producer

Order For Reissuance After License Suspension and Expiration

Shane Mehmen 110596 October 21, 2021 Insurance Producer

Default Order, Findings of Fact, Conclusions of Law and Order

Shannon Gage 112142 January 20, 2022 Insurance Producer

Order for Suspension

Shawn R. Still 104960 October 1, 2020 Insurance Producer

Order and Consent to Order

Shay Cameron 107813 December 18, 2020 Insurance Producer

Order for Suspension

Shearer, Sharon 78707 February 15, 2013 Insurance Producer

Order for Suspension

Shipley, James 68175 September 15, 2011 Insurance Producer

Order and Consent Order

Shoemaker, Robert 78764 February 18, 2013 Insurance Producer

Order for Suspension

Siamis, Dennis T

Cedar Rapids IA

Allegation: Engaged in dishonest or unethical practices in the securities business

Resolution: Consent: Surrender insurance license and disqualified for 5 years from reapplying for an insurance license in Iowa with no promise or assurance of approval for licensure in the future.

Date of Order/Settlement: 2003-04-28 00:00:00

Siebring Export Inc

Albion IA

Allegation: Sale of unregistered securities by an unregistered agent

Resolution: Cease and desist the offer or sale of unregistered non-exempt securities in Iowa

Date of Order/Settlement: 2004-05-03 00:00:00

Siebring, Gordon

Albion IA

Allegation: Sale of unregistered non exempt securities by an unregistered agent

Resolution: Cease and desist the offer or sale of unregistered and non-exempt securities in Iowa

Date of Order/Settlement: 2004-05-03 00:00:00

Silva Shea

Santa Ana CA

Allegation: Sale of unregistered securities by an unregistered agent

Resolution: Order: Cease and desist of sale or offer of sale of unregistered securities in Iowa

Date of Order/Settlement: 2004-08-06 00:00:00

Simmons, Henry 58158

Virginia Beach VA

Allegation: Failure to notify of other state administrative action; Failure to respond

Resolution: Order- License revoked.

Date of Order/Settlement: 2005-07-01 00:00:00

Simmons, Henry E.

Virginia Beach VA

Allegation: Failure to notify Division of prior actions; failure to cooperate with investigation; denial of license by another state.

Resolution: Order: License revoked; Pay $250 Fine and respond to division inauires before license may be restored.

Date of Order/Settlement: 2005-07-01 00:00:00

Simon, Joseph 68909 June 10, 2011 Regulated Industries Preneed Sales Agent

Order and Consent to Order

Simonsen Capital LLC

Coralville IA

Allegation: Acting as unlicensed investment adviser and unlcensed investment adviser representative in Iowa

Resolution: Voluntary agreement to register as investment adviser and investment adviser representative notify the Securities Bureau of any consumer complaints for calendar year 2005; pay $500 Costs.

Date of Order/Settlement: 2005-01-04 00:00:00

Siroky, Pamela 85165 November 24, 2015 Insurance Producer

Order & Consent Order

Skaggs, Christopher

Iowa City IA

Allegation: Failure to disclose criminal history.

Resolution: Order and Consent to Order; Civil penalty.

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

Skidmore, Cody 85437 December 17, 2014 Insurance Producer

Order for Suspension

Skylre Quang 105151 May 6, 2020 Insurance Producer

Order for Suspension

Smith II, Lance 77953 December 14, 2012 Insurance Producer

Order for Suspension

Smith Jr., Herman 58349

Des Moines IA

Allegation: Failure to respond

Resolution: Consent Signed: License Revocation

Date of Order/Settlement: 2000-07-07 00:00:00

Smith, Alyson L. 91175 August 16, 2016 Insurance Producer

Order Reinstating License After Suspension & Order for Suspension

Smith, Darrell D. 79798 July 15, 2013 Securities, Insurance Producer, Securities Agent

Order & Consent to Order and Agreement

Smith, Douglas

Ankeny IA

Allegation: Misrepresentation; Replacement violation

Resolution: Decision - 2 yr probation; 30 day suspension; Civil penalty assessed.

Date of Order/Settlement: 2006-12-20 00:00:00

Smith, Jessica 58573

Wallingford CT 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

Smith, Virginia E.

Harlan IA

Allegation: Failure to disclose criminal conviction.

Resolution: Consent Order signed and monetary penalty assessed.

Date of Order/Settlement: 2007-10-26 00:00:00

Smith, Yusef D. 58689

Cedar Rapids IA

Allegation: Application disclosures

Resolution: Consent signed: Granted insurance license for health qualification with restrictions.

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

Solium Financial Services LLC 104705 February 3, 2020 Securities Broker Dealer, Unlicensed

Order and Consent to Order

Sonnichsen, Alan 59400

Westport CT 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

Sonya Ackerson and The Sonya Group, LLC f/k/a Advocate 4 the Aging, LLC 110992 May 10, 2022 Insurance Producer

Final Order

Sorensen, Anthony

Coralville IA

Allegation: Committing an unfair trade practice Making a misrepresentation to an insurance company using fraudulant practices by forging anothers name.

Resolution: Cease & Desist any violation of the Iowa Insurance laws and will surrender Life & Health license. This Life & Health license will be suspended for a period of two years from the date of this order

Date of Order/Settlement: 2006-07-25 00:00:00

South Central Mutual Insurance Association

Chariton IA

Allegation: Failure to respond

Resolution: Consent; agrees to respond; Fine $1000 & Cost $500 paid.

Date of Order/Settlement: 2006-02-17 00:00:00

Sovia, Shannon

Atlantic IA

Allegation: Failure to pay state debt.

Resolution: Order for Suspension issued.

Date of Order/Settlement: 2009-10-05 00:00:00

Speck, Jason 84481 November 24, 2015 Insurance Producer

Order Reinstating License After Suspension and Order for Suspension

Speck, Jason W. 84481 September 3, 2014 Insurance Producer

Order for Suspension

Spees, Lisa

Keokuk IA

Allegation: Using fraudulent or dishonest practices; failure to cooperate

Resolution: Order: License revoked

Date of Order/Settlement: 2004-07-15 00:00:00