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.
Click to subscribe for an email update when new orders are added to this page.
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 |
||||
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 |
||||
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 | August 7, 2012 | Insurance | Insurance Company | Suspension Order |
|
Standard Life Insurance Company of Indiana | October 22, 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 |
||||
Stepanek, John M. | 77458 | August 2, 2012 | Regulated Industries | Preneed Sales Agent | Order & Consent to Order |