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
Tuve, John S. 71481 June 1, 2011 Insurance Producer

Agreement, Order and Consent to Order

Two Rivers Insurance Company, Inc. 82465 May 22, 2017 Insurance Business Entity Producer, Third Party Administrator

Order and Consent to Order

Tyson, Gene

North Liberty IA

Allegation: Failure to comply with Other State Agency - DHS; Non-compliance w/order of Child Support

Resolution: License suspended.

Date of Order/Settlement: 2007-01-18 00:00:00

U. S. Bancorp 58411

Minneapolis MN

Allegation: Inappropriate influence by investment banking over research analysts; failed to establish and enforce written supervisory procedures to prevent undue influence

Resolution: Consent Order: without admitting or denying allegations consented to cease and desist and pay $125000 Fine

Date of Order/Settlement: 2004-02-16 00:00:00

U.S. Auto Administrators, Inc. & Benjamin Wygoda, dba Liberty Bell Auto Protect 103105 December 2, 2019 Regulated Industries Unlicensed

Order and Consent to Order

U.S. Patriot Services 73436 November 17, 2011 Regulated Industries Unlicensed

Cease and Desist Order and Subpoena Duces Tecum; Agreement and Consent Order

UBS Financial Services, Inc 81914 December 10, 2013 Securities Broker Dealer

Consent Order and Order to Cease and Desist

UBS Securities LLC 59074

Stamford CT

Allegation: "Investment banking interests" influenced the firms research; published exaggerated or unwarranted research; failed to adequately supervise its research and banking departments.

Resolution: Consent Cease and desist without admitting or denying allegations; Pay $250000 Fine

Date of Order/Settlement: 2004-03-19 00:00:00

Ullico Casualty Company March 20, 2013 Insurance Insurance Company

Suspension Order

Union Security Life Insurance Company 58677

Atlanta GA

Allegation: Failure to cooperate with Commissioners investigation

Resolution: Consent signed: Provide requested information; Pay $500 Fine; Pay $100 Costs

Date of Order/Settlement: 2003-07-01 00:00:00

United American Insurance Company 59599

McKinney TX

Allegation: Market Conduct Exam

Resolution: Consent Signed: Implement procedures; $5000 Fine

Date of Order/Settlement: 2002-05-28 00:00:00

United Fire & Casualty Company

Cedar Rapids IA

Allegation: Failure to report dividends

Resolution: Consent: Report dividends as directed; submit schedule; pay $1000 fine; $500 Costs

Date of Order/Settlement: 2006-02-17 00:00:00

United States Fire Insurance Company 97248 February 7, 2018 Insurance Insurance Company

Regulatory Settlement Agreement

United States Fire Insurance Company 72225 August 19, 2011 Insurance Insurance Company

Order and Consent to Order

UNUM Life Insurance Company of America 58083

Portland ME

Allegation: Multi State Market Conduct Exam for individual and group long term disability income claim handling practices.

Resolution: Agreement: Implement changes in corporate governance; implement the Claim Reassessment Process; Provide initial notice to specified claimants; conduct employee training; pay fine to be allocated to participating regulators.

Date of Order/Settlement: 2004-11-18 00:00:00

Urista, Jason C.

Columbia Heights MN

Allegation: Failure to disclose prior criminal history

Resolution: Order: Revocation of Iowa Insurance License

Date of Order/Settlement: 2004-03-15 00:00:00

USI of Georgia Inc

Norfolk VA

Allegation: Did not remit surplus lines taxes; no Iowa licensed producer;

Resolution: Consent signed: Cease and desist conducting business until employee licensed in Iowa; pay $4500 Fine; and $500 Costs.

Date of Order/Settlement: 2004-08-23 00:00:00

UVEST Financial Services Group, Inc 77063 January 11, 2013 Securities Broker Dealer

Administrative Consent Order

Valenti, Anthony 81849 February 25, 2014 Insurance Producer

Default Order of Revocation, Cease and Desist and Civil Penalty

Valiaku Kargbo 98736 August 17, 2018 Insurance Producer

Order for Suspension

Van Hook, Martisa J. 92549 November 21, 2016 Insurance Producer

Order for Suspension

Van Rensburg, Gideon Janse 85649 December 31, 2014 Insurance Producer

Order for Suspension

Vander Wilt, Arthur J. 59582

Hospers IA

Allegation: Selling unauthorized insurance products

Resolution: Consent Signed: Cease and Desist from selling unauthorized ins. Products; Pay all outstanding health claims after final resolution of US Dept of Labor action against Employers Mutual L.L.C.

Date of Order/Settlement: 2002-03-14 00:00:00

Vaudt, Brady J. 82623 January 23, 2015 Insurance Producer

Order Reinstating License After Suspension and Order for Suspension

Vedovino, John

Pompton Plains NJ

Allegation: Violation of NYSE rules

Resolution: Consent Order issued and suspension of securities license that shall run concurrent to the NYSE suspension.

Date of Order/Settlement: 2008-09-25 00:00:00

Veenstra, Douglas

Tracy IA

Allegation: Appointment termination.

Resolution: Consent Order issued; heightened supervision and probation for 1 year and a monetary penalty assessed.

Date of Order/Settlement: 2008-05-02 00:00:00

Vendemia, Joseph

Poplar Grove IL

Allegation: Unlicensed sale of insurance; Accepting insurance from an individual who is not licensed.

Resolution: Cease and Desist Order; Civil penaltyassessed.

Date of Order/Settlement: 2006-12-28 00:00:00

Vendonn L. Simmons Jr. 108693 March 22, 2021 Insurance Producer

Order for Suspension

Vendonn Simmons 104391 April 14, 2020 Insurance Producer

Order Reinstating License After Suspension

Vendonn Simmons Jr. 104391 February 7, 2020 Insurance Producer

Order for Suspension

Vershaw, Todd C. 95687 November 20, 2017 Insurance Producer

Order and Consent to Order

Victor C. Washington 105532 June 1, 2020 Insurance Producer

Order and Consent to Order

Victoria Automobile Insurance Company

Cleveland OH

Allegation: Failure to respond

Resolution: Consent Order issued and penalty assessed

Date of Order/Settlement: 2008-06-24 00:00:00

Viking Insurance Company of Wisconsin

Stevens Point WI

Allegation: Violation in claim handling

Resolution: Consent Order issued and monetary penalty assessed.

Date of Order/Settlement: 2009-03-10 00:00:00

Volts, Michael R. 84452 November 12, 2014 Insurance Producer

Default Order of Revocation, Cease & Desist and Civil Penalty

Voss, Diana L. 94287 July 7, 2017 Insurance Producer

Order for Suspension

Voyager Financial Group, LLC 80240 June 4, 2013 Securities Unlicensed

Cease & Desist Order

Voyager Financial Group, LLC 80240 September 20, 2013 Securities Unlicensed

Order and Consent to Order and Agreement

Vugteveen, Larry 78598 January 28, 2013 Insurance Producer

Order for Suspension

Wachovia Capital Markets LLC

Charlotte NC

Allegation: Conflicts of interest between investment banking and equity research department failure to supervise its research analysts failed to maintain and produce in a timely manner certain books and records.

Resolution: Without admitting or denying findings of fact and conclusions of law Wachovia agreed to cease and desist failing to supervise and agreed to pay a civil penalty of $246500.

Date of Order/Settlement: 2006-08-15 00:00:00

Waddell & Reed Inc

Overland Park KS

Allegation: Waddell a broker dealer sought to exchange their customers United Investors Life Ins. Co. variable annuities to Nationwide variable annuities. The BB and agents received a new commission on each exchange but many customers paid surrender charges.

Resolution: Order and Consent to Order. Waddell & Reed censured $79000 to compensate Iowa customers $29000 civil penalty to the Division and several undertakings.

Date of Order/Settlement: 2005-08-10 00:00:00

Wagemann, Andrew 91354 August 18, 2016 Insurance Producer

Order for Suspension

Walker, Charles R. 84207 August 11, 2014 Insurance Producer

Order for Suspension

Walker, Samuel W.

Waterloo IA

Allegation: Failure to disclose prior criminal convictions on license application

Resolution: Order signed: License revoked

Date of Order/Settlement: 2004-08-24 00:00:00

Walter A. Starkey 92965 March 12, 2019 Insurance Producer

Order Reinstating License After Suspension

Walter Link 102678 October 2, 2019 Insurance Producer

Order Reinstating License After Suspension

Walter Link 102678 September 26, 2019 Insurance Producer

Order for Suspension

Washington National Insurance Company

Carmel IN

Allegation: Failure to appoint insurance producers in Iowa

Resolution: Consent: Cease and desist failing to appoint producers; pay $4200 Fine and $1000 Costs

Date of Order/Settlement: 2005-07-26 00:00:00

Waterloo Elmwood Cemetery Association 88189 September 22, 2015 Regulated Industries Unlicensed

Order & Consent to Order

Waterloo Memorial Park Cemetary 83329 May 2, 2014 Regulated Industries Other

Order to Cease and Desist and Consent to Order