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 Case Number Enforcement Date Subject Entity 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

Todd R. Wilson 103214 February 17, 2020 Insurance Producer

Order and Consent to Order

Tommy McCellan-Bey 95615 February 27, 2019 Insurance Producer

Order Reinstating License After Suspension

Tommy McCellan-Bey 95615 October 12, 2018 Insurance Producer

Findings of Fact, Conclusions of Law, and Final Orders

Tony J. Meyer 108505 February 23, 2021 Insurance Producer

Order for Suspension

Townsend, Patricia

Morton IL

Allegation: Sold policies during the time period that insurance producer license not renewed.

Resolution: Order and Consent to Order - Civil penalty and costs imposed.

Date of Order/Settlement: 2007-03-08 00:00:00

Tracy Werges 105120 May 6, 2020 Insurance Producer

Order and Consent to Order

Tradewinds Holding Company A.V.V. 58770

Davie FL

Allegation: Unregistered securities Unregistered agents Ommissions and Misrepresentations.

Resolution: Cease & Desist Order issued.

Date of Order/Settlement: 2006-11-01 00:00:00

Transamerica Casualty Insurance Company 97192 January 19, 2018 Insurance Insurance Company

Regulatory Settlement Agreement

Transamerica Life Insurance Company 81869 October 3, 2013 Insurance Insurance Company

Regulatory Settlement Agreement

Transamerica Occidental Life Insurance Company 59668

Los Angeles CA

Allegation: Failure to respond to Insurance Division inquiry

Resolution: Consent signed: Provide response; Paid $500 Fine; $100 Costs

Date of Order/Settlement: 2002-12-16 00:00:00

Travelers Casualty & Surety Company of America et al 71881 August 22, 2011 Insurance Insurance Company

Order and Consent to Order

Travis E. Evans 102746 December 13, 2019 Insurance Producer

Order and Consent to Order

Travis O'Brien 104351 April 14, 2020 Insurance Producer

Order Reinstating License After Suspension

Travis O'Brien 104351 February 18, 2020 Insurance Producer

Order for Suspension

Trawick, Daryl C. 58064

Mobile AL

Allegation: Failure to report other states actions.

Resolution: Consent: Pay $250 fine and $100 costs; agrees to follow all Iowa statutory and administrative requirements and only sell insurance products approved for use by admitted insurance companies.

Date of Order/Settlement: 2004-07-12 00:00:00

Trenwick American Reinsurance Corporation

Fairfield CT

Allegation: Failure to respond

Resolution: Consent issued and monetary penalty assessed.

Date of Order/Settlement: 2009-01-23 00:00:00

Triad Guaranty Insurance Corporation September 6, 2013 Insurance Insurance Company

Suspension Order

Trina Gomez 98904 August 20, 2019 Insurance Producer

Order Reinstating License After Suspension

Trina M. Gomez 98904 January 16, 2019 Insurance Producer

Findings of Fact, Conclusions of Law, and Final Orders

Trinity Healthshare, Inc. 105205 March 17, 2021 Insurance Unlicensed

Order and Consent to Order

Trish Winkowitsch 104070 January 2, 2020 Insurance Producer

Order for Suspension

Tristan O'Neal 97943 June 25, 2018 Insurance Producer

Order for Suspension

Tristan O'Neal 97943 October 2, 2018 Insurance Producer

Order Reinstating License After Suspension

Troy Fillenworth 97710 May 30, 2018 Insurance Producer

Order for Suspension

Trucke, Shannon M. 78816 July 31, 2013 Insurance Producer

Default Order

Turner, Robert C.

Raleigh NC

Allegation: Failure to notify Iowa Ins. Div. of other states administrative actions

Resolution: Cease and desist from violations; pay $125 Fine and $125 Costs

Date of Order/Settlement: 2005-10-11 00:00:00