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
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

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

Speicher, Gary D. 89811 May 20, 2016 Insurance Producer

Order and Consent to Order

Spencer, Robert O. 58981

Allegation: Replacement violations; suitability sales

Resolution: Consent signed: 2 yrs probation; $500 Costs; reimburse client surrender charges

Date of Order/Settlement: 2001-02-28 00:00:00

Spenny, Samantha L. 82041 March 24, 2014 Insurance Producer

Order & Consent to Order

Sporn, Bryana Starr 85163 March 2, 2015 Insurance Producer

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

Sporn, Bryana Starr 85163 May 26, 2016 Insurance Producer

Regulatory Settlement Agreement As To Bryana Starr Sporn

Sporn, Dylan Brent 85163 March 2, 2015 Insurance Producer

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

Sporn, Marc Shaye 85163 March 2, 2015 Insurance Unlicensed

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

Spratt, Michael 76763 July 13, 2012 Insurance Producer

Order for Suspension

Stabile, Timothy

Ottumwa IA

Allegation: Stabile improperly withheld misappropriated or converted moneys received in the course of doing business.

Resolution: Order & Consent to Order - permanently barred from reapplying for an insurance producer license in Iowa and also permanently barred from reapplying for a securities agent license in Iowa.

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

Stalheim, Roger L. 75491 June 11, 2012 Insurance Producer

Order & Consent to Order

Stammer, Terry 77096 August 22, 2012 Insurance Producer

Order for Suspension; Order Reinstating License After Suspension

Standard Guaranty Insurance Company 58490

Miami FL

Allegation: Failure to cooperate with Divisions inquiry

Resolution: Consent Signed: Provided response to Divisions inquiry; Paid $500 Fine

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

Standard Insurance Company 91869 August 31, 2016 Insurance Insurance Company

Regulatory Settlement Agreement

Standard Life Insurance Company of Indiana October 22, 2012 Insurance Insurance Company

Suspension Order

Standard Life Insurance Company of Indiana August 7, 2012 Insurance Insurance Company

Suspension Order

Standard Security Life Insurance Company of New York 107031 September 23, 2020 Insurance Insurance Company

Regulatory Settlement Agreement

Star Casualty Insurance Company September 25, 2017 Insurance Insurance Company

Order and Consent to Order

Starkey, Walter A. 92965 February 17, 2017 Insurance Producer

Order for Suspension

Starr Insurance Group, Inc 85163 March 2, 2015 Insurance Business Entity Producer

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

Stasney, Bobbi

Boone IA

Allegation: Criminal Proceedings

Resolution: Order of Summary Suspension and Cease and Desist.

Date of Order/Settlement: 2009-04-10 00:00:00

State Adjusters LLC; Donald Schuett 69194 June 7, 2011 Insurance Unlicensed

Summary Cease and Desist Order; Default Order

State Farm Life Insurance Company; State Farm Life and Accident Assurance Company; and State Farm Health Insurance Company 97245 February 7, 2018 Insurance Insurance Company

Regulatory Settlement Agreement

Steckis, William

Omaha NE

Allegation: Failure to report other states action.

Resolution: Cease & Desist from violations and monetary penalty.

Date of Order/Settlement: 2007-03-07 00:00:00

Steen, Bryan 101627 May 31, 2019 Insurance Producer

Order for Suspension

Steiber, Dan

Janesville IA

Allegation: Unregistered securities; Unregistered agent and ommissions.

Resolution: Cease & Desist order issued.

Date of Order/Settlement: 2006-11-08 00:00:00

Steiber, Danny

Janesville IA

Allegation: Failure to Respond

Resolution: Order - License revoked

Date of Order/Settlement: 2006-09-22 00:00:00