Enforcement Orders and Actions
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 Sort descending | Case Number | Enforcement Date | Subject | Entity | Order |
|---|---|---|---|---|---|
| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| Standard Insurance Company | 91869 | August 31, 2016 | Insurance | Insurance Company | Regulatory Settlement Agreement |
| Standard Life Insurance Company of Indiana | August 7, 2012 | Insurance | Insurance Company | Suspension Order |
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| Standard Life Insurance Company of Indiana | October 22, 2012 | Insurance | Insurance Company | Suspension Order |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| Steiber, Danny | Janesville IA Allegation: Failure to Respond Resolution: Order - License revoked Date of Order/Settlement: 2006-09-22 00:00:00 |
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| Stepanek, John M. | 77458 | August 2, 2012 | Regulated Industries | Preneed Sales Agent | Order & Consent to Order |