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
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 February 23, 2021 Insurance Producer

Order and Consent to Order

Tanya Schettler 107604 August 25, 2021 Insurance Producer

Order Reinstating License After Suspension

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

Thiltgen, Sarah 93273 March 22, 2017 Insurance Producer

Order for Suspension

Thole, John M. 58191

Iowa City IA

Allegation: Failure to report administrative action

Resolution: Order: License suspended; $500 Fine; $100 Costs; Report action to Division

Date of Order/Settlement: 2001-01-05 00:00:00

Thoman, Linette E. 84486 August 25, 2014 Insurance Producer

Order & Consent to Order

Thomas A. Mulligan 108957 August 13, 2021 Insurance Producer

Order Reinstating License After Suspension

Thomas A. Mulligan 108957 April 14, 2021 Insurance Producer

Order for Suspension

Thomas Clyce 103767 January 2, 2020 Insurance Producer

Order for Suspension

Thomas Weisel Partners LLC 58660

San Francisco CA

Allegation: Analyst conflict of interest case; ratings were tilted toward "buy" and "strong buy" analyst considered banking business in determining recommendations analysts compensation was tied to success in generating business.

Resolution: Without admitting or denying findings of fact and conclusions of law TWP is ordered to cease and desist violations of the Iowa Uniform Securities Act consents to several undertakings and pay fine of $50000.

Date of Order/Settlement: 2005-05-10 00:00:00

Thomas, Brodie 72409 November 16, 2011 Insurance Producer

Order for Suspension

Thomas, Joyce B. 58862 August 16, 2005 Insurance Producer

Order & Consent to Order

Thomas, Kirk 83456 June 23, 2014 Regulated Industries Preneed Sales Agent

Order & Consent to Order

Thomas, Rayna 76613 August 12, 2012 Insurance Producer

Order for Suspension

Thomas, Sam 73410 May 1, 2012 Insurance Producer

Order for Suspension

Thompson, Brian T. 94359 July 7, 2017 Insurance Producer

Order for Suspension

Thompson, Edwin J. 85074 November 12, 2014 Insurance Producer

Default Order of Revocation, Cease & Desist and Civil Penalty 

Thompson, Kelly G. 82151 February 27, 2014 Insurance Producer

Order for Suspension

Thompson, Paul B. 70934 April 19, 2011 Insurance Producer

Agreement, Order and Consent to Order

Thompson, Rodney 84480 September 29, 2014 Insurance Producer

Order for Suspension

THPCA both individually and dba Total Home Protection, and Ronald Seruya, both individually and dba Total Home Protection 101043 February 25, 2019 Regulated Industries Producer, Unlicensed

Summary Cease and Desist Order

THPCA d/b/a Total Home Protection 101043 January 29, 2020 Regulated Industries Unlicensed

Order and Consent to Order

TIAA_CREF 81252 August 1, 2013 Insurance Insurance Company

Regulatory Settlement Agreement

Tiernan, Christopher 89089 May 2, 2016 Insurance Producer

Default Order & Emergency Adjudicative Order

TIG Insurance Company 58504

Irving TX

Allegation: Failure to provide response to Divisions inquiry

Resolution: Consent: Provide a stubstantive response; Pay $1000 Costs

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

Time Insurance Company 19IID0002 June 25, 2019 Insurance Insurance Company

Default Order

Timothy A. Ross 108968 April 5, 2021 Insurance Producer

Order for Suspension