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
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 L. Simmons Jr., Matthew C. Russell, and Simmons Global, LLC dba Valor Insurance 109979 September 30, 2021 Insurance Producer, Unlicensed

Order and Consent to Order

Vendonn L. Simmons Jr., Matthew C. Russell, and Simmons Global, LLC dba Valor Insurance 109979 September 30, 2021 Insurance Producer

Order and Consent to Order

Vendonn L. Simmons Jr., Matthew C. Russell, and Simmons Global, LLC dba Valor Insurance 109979 September 30, 2021 Insurance Other, Unlicensed

Dismissal

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 September 26, 2019 Insurance Producer

Order for Suspension

Walter Link 102678 October 2, 2019 Insurance Producer

Order Reinstating License After 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

Waterloo Memorial Park Cemetery 80382 May 14, 2013 Regulated Industries Other

Voluntary Settlement and Consent Order

Waters, Jason R. 50976 October 17, 2005 Insurance Producer

Order and Consent to Order

Weaver, Andy 74140 June 4, 2012 Insurance Producer

Order for Suspension

Webb, Nathaniel

Van Nuys CA

Allegation: Failure to respond.

Resolution: Order - License revoked.

Date of Order/Settlement: 2006-08-18 00:00:00

Weber, Wayne 94778 November 15, 2017 Insurance Producer

Order for Suspension

Weisberg, Max

Scottsdale AZ

Allegation: Failure to notify Division of prior action

Resolution: Consent Signed: Cease and desist from violations; pay $150 Fine $100 Costs

Date of Order/Settlement: 2005-05-12 00:00:00

Welander, LuJean

Mason City IA

Allegation: Provided incorrect information on her application for an Iowa Preneed Sales Agent License and on her application for an Iowa Insurance Producer License.

Resolution: Consent Order issued and was ordered to accurately answer all questions on applications and was granted a license to be a Preneed Sales Agent and an Iowa Insurance Producer.

Date of Order/Settlement: 2008-05-12 00:00:00

Welding, Carla L. 93611 April 18, 2017 Insurance Producer

Order for Suspension

Welte, Douglas E. 78144 October 8, 2012 Insurance Producer

Order & Consent to Order

Western General Insurance Company December 3, 2021 Insurance Insurance Company

Summary Order of Suspension

Western Insurance Company October 7, 2011 Insurance Insurance Company

Suspension Order

Whaley, Dean 71681 September 6, 2011 Insurance Producer

Order for Suspension

Whirlpool Corporation

Benton Harbor MI

Allegation: Failure to timely file renewal.

Resolution: Consent Order issued and monetary penalty assessed.

Date of Order/Settlement: 2008-08-13 00:00:00