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 |
|---|---|---|---|---|---|
| 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 |
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| 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 |
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| 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 |
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| 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 |
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| Steve's Roofing, Inc | 70835 | September 5, 2014 | Insurance | Order Affirming Insurer's Decision |
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| Steve's Roofing, Inc | 70907 | August 20, 2013 | Insurance | Order on Remand |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| Sullivan, Alan J. | 96085 | November 13, 2017 | Insurance | Decision Vacating Denial and an Order Granting Consent to Work in Business of Insurance |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |