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
Stepanek, John M. 77458 August 2, 2012 Regulated Industries Preneed Sales Agent

Order & Consent to Order

Stephanie Miller 104797 April 15, 2020 Insurance Producer

Order and Consent to Order

Stephanie Peters Zimmerman 98400 August 16, 2018 Insurance Producer

Order Reinstating License After Suspension

Stephanie Peters Zimmerman 98400 July 25, 2018 Insurance Producer

Order for Suspension

Stephen, Wiley

St. Louis Missouri

Allegation: Unlicensed agent

Resolution: Summary Cease and Desist Order issued

Date of Order/Settlement: 2009-07-31 00:00:00

Stephens, Dennis M. 59428

Lake Mills IA

Allegation: Marketing and sales violations

Resolution: Consent Signed: Use only approved marketing materials; repay personal loans; 2 yrs probation;

Date of Order/Settlement: 2001-06-05 00:00:00

Stephens, Dennis M. 59040

Lake Mills IA

Allegation: Violations of previous order regarding prohibited loan activity

Resolution: Order of Summary Suspension: License suspended immediately; cease and desist from participating in the business of insurance in Iowa; and from soliciting or receiving any further loans from unrelated insurance clients; Pending hearing date 12/18/03

Date of Order/Settlement: 2003-11-20 00:00:00

Sterling Blackthorn Inc

Mount Pleasant MI

Allegation: Selling/offering unregistered securities in Iowa.

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

Date of Order/Settlement: 2004-06-10 00:00:00

Steve's Roofing, Inc 70907 August 20, 2013 Insurance

Order on Remand

Steve's Roofing, Inc 70835 September 5, 2014 Insurance

Order Affirming Insurer's Decision

Steven A. Olejniczak 93392 February 8, 2017 Securities, Insurance Producer, Securities Agent

Order and Consent to Order

Stevens, Mike 58018

Eagle Grove 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

Stewart Hinerfeld 95835 October 6, 2017 Securities Investment Adviser Representative

Order Granting Waiver of Series 65 Exam

Stewart, Jeffrey A. 81432 October 15, 2013 Securities, Insurance Investment Adviser Representative, Producer

Order & Consent to Order

Stites, Randy 70933 August 5, 2011 Insurance Producer

Default Order

Stoneking, Jason 72566 September 27, 2011 Insurance Producer

Order for Suspension

StoneMor Iowa LLC 85220 September 17, 2014 Regulated Industries Other

Consent Order & Civil Penalty

Stoner, Charles

Omaha NE

Allegation: sold insurance polices for a company not licensed to do business in Iowa.

Resolution: Consent Order issued and license revoked.

Date of Order/Settlement: 2008-07-21 00:00:00

Story, Ernest A. 92757 March 21, 2017 Insurance Producer

Order for Suspension

Stotmeister, Sheldon 74151 April 5, 2012 Insurance Producer

Order for Suspension

Straka, Catherine A. 58687

Council Bluffs IA

Allegation: Misappropriation of client funds

Resolution: Consent signed: Insurance license revoked; permanently barred from reapplying for an insurance producer license.

Date of Order/Settlement: 2003-08-08 00:00:00

Stratford Insurance Co. 107932 December 21, 2020 Insurance Business Entity Producer, Insurance Company

Order and Consent to Order

Stratton, Christine 71103 July 8, 2011 Insurance Producer

Order for Suspension

Straw, Jack

Cedar Rapids IA

Allegation: Unlicensed SEC. Misrepresentation; misappropriation of funds.

Resolution: Order of Summary Revocation and Order to Cease and Desist.

Date of Order/Settlement: 2007-09-28 00:00:00

Strohbehn, Robert 73969 March 27, 2012 Insurance Producer

Order for Suspension

Strohmeier, Gretchen A. 59071

Springboro OH

Allegation: Selling annuity insurance policies in Iowa without a license in December 1994 and February 1995.

Resolution: Consent signed: Pay $1100 Fine; Have active nonresident Iowa license before selling in Iowa; Report any administrative action taken within 30 days.

Date of Order/Settlement: 2004-02-05 00:00:00

Success Trust and Holding LLC

Simpsonville SC

Allegation: Sale of unregistered security.

Resolution: Cease and Desist Order issued.

Date of Order/Settlement: 2007-03-15 00:00:00

Sullivan, Alan J. 96085 November 13, 2017 Insurance

Decision Vacating Denial and an Order Granting Consent to Work in Business of Insurance

Sun Life Companies 85950 December 2, 2014 Insurance Insurance Company

Regulatory Settlement Agreement

Sunrise Energy Inc

Irvine CA

Allegation: Selling nregistered securities unregistered agent

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

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

Surber, Ryan C. 81919 February 20, 2014 Insurance Producer

Order for Suspension

Svoboda, Steven

Washington IA

Allegation: Accepted money from clients that was intended for investment or savings purposes and converted those client funds for personal use.

Resolution: Order of Summary Revocation

Date of Order/Settlement: 2008-09-26 00:00:00

Swafford, Judi A.

Oklahoma City OK

Allegation: Failure to disclose on license application; failure to to notify Diviison of prior actions; revocation of license by another state; failure to cooperate with investigation

Resolution: Order: License revoked; Pay $250 Fine before licensure may be restored

Date of Order/Settlement: 2005-03-23 00:00:00

Swantek, Daniel M. 93363 March 21, 2017 Insurance Producer

Order for Suspension

Sylvester, Jennifer L. 89538 April 14, 2016 Insurance Producer

Order for Suspension

Symetra Life Insurance Company 85949 December 2, 2014 Insurance Insurance Company

Regulatory Settlement Agreement

T.E.A.M. Builders, Ltd. and Austin Maginnis 110517 August 17, 2021 Insurance Public Adjuster, Unlicensed

Consent to Cease and Desist Order

Tallett, David

Cedar Rapids IA

Allegation: Advertising Violation

Resolution: Consent Order signed. Civil penalty assessed.

Date of Order/Settlement: 2007-07-19 00:00:00

Tammie L. Strong 108516 March 1, 2021 Insurance Producer

Order for Suspension

Tanya Schettler 107604 August 25, 2021 Insurance Producer

Order Reinstating License After Suspension

Tanya Schettler 107604 February 23, 2021 Insurance Producer

Order and Consent to Order

Tapken, John

Marion IA

Allegation: Issued retroactive coverage and forged client signatures.

Resolution: Consent Order signed and civil penalty assessed.

Date of Order/Settlement: 2007-07-24 00:00:00

Taylor, Keren M. 90801 June 28, 2016 Insurance Producer

Order for Suspension

Taylor, Kimberly D. 82934 May 28, 2014 Insurance Producer

Order for Suspension

Taylor, Thomas C. 59369

Florissant MO

Allegation: Failure to notify Division of criminal action

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

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

Terraza, Jose M. 92369 June 19, 2017 Insurance Producer

Final Findings of Fact, Conclusions of Law and Order

The Aliera Companies, Inc., Jessica Joy Buddington, Aliera Healthcare, Inc., Ensurian Agency, LLC, USA Benefits & Administrators, LLC, Advevo, LLC, and Tactic Edge Solutions, LLC 105205 July 12, 2021 Insurance Producer, Third Party Administrator, Unlicensed

Order and Consent to Order

The Securities and Regulated Industries Bureau 94918 June 26, 2017 Securities

Order of Appointment

Theresa L. Ellenwood 108517 February 23, 2021 Insurance Producer

Order for Suspension

Thiede, William A. 69335 April 10, 2012 Insurance Producer

Default Order