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 |
|---|---|---|---|---|---|
| Binstock, Julie | 58585 |
Marshalltown IA Allegation: Sale of unregistered securities; misrepresentations omissions Resolution: Order: Cease and desist the offer or sale of unregistered securities acting as unregistered agents; making untrue statements of facts omitting material facts; pay $5000 fine Date of Order/Settlement: 2006-02-01 00:00:00 |
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| Binstock, Loren |
Marshalltown IA Allegation: Sale of unregistered securities; misrepresentations omissions Resolution: Order: Cease and desist the offer or sale of unregistered securities acting as unregistered agents; making untrue statements of facts omitting material facts; pay $5000 fine Date of Order/Settlement: 2006-02-01 00:00:00 |
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| Birgoyne, Liana | 82082 | February 21, 2014 | Insurance | Producer |
Order & Consent to Order |
| Black, Derek |
Osage Beach MO Allegation: Violated Iowa Insurance Trade Practices Act Resolution: Summary Cease & Desist Order Date of Order/Settlement: 2009-03-03 00:00:00 |
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| Black, Michael | 77402 | September 7, 2012 | Insurance | Producer |
Order for Suspension |
| Blackman, Jacque | 78808 | March 5, 2013 | Insurance | Producer |
Order for Suspension; Order Reinstating License After Suspension |
| Blake, Michael | 66623 | February 1, 2011 | Insurance | Producer |
Order for Suspension; Order Reinstating License After Suspension |
| Blayne Fitzsimmons Lewis | 96486 | January 31, 2018 | Insurance | Producer |
Order for Suspension |
| Blayne Fitzsimmons-Lewis | 96486 | July 6, 2021 | Insurance | Producer |
Order for Reissuance After License Suspension and Expiration |
| Blazicek, Diane J. | 59319 |
Johnson City NY Allegation: Material misstatement on application for licensure; revocation of insurance license in another state; failure to notify Division of prior actions Resolution: Order: License revoked Date of Order/Settlement: 2003-05-16 00:00:00 |
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| Bliek, Roy |
Hull IA Allegation: Sale of unregistered securities; Unregistered agent Resolution: Consent Order issued to cease and desist violations. Date of Order/Settlement: 2009-05-03 00:00:00 |
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| Blue Square Management Inc |
New York NY Allegation: Not licensed as a broker-dealer or issuer to offer or sell securities in Iowa. Resolution: Order: Cease and desist the offer or sale of unregistered non exempt securities; employing non registered agents in Iowa; making untrue statements of material facts; omission of facts; pay $5000 fine; $1000 costs Date of Order/Settlement: 2004-05-19 00:00:00 |
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| Bock, Jason | 88848 | December 1, 2015 | Insurance | Producer |
Order for Suspension |
| Bonnell, Peter |
Medina OH Allegation: Advertising Violation. Resolution: Order and Conset to order signed; Civil Penalty assessed. Date of Order/Settlement: 2006-12-18 00:00:00 |
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| Boothby, Michael D. | 83394 | June 12, 2014 | Insurance | Preneed Sales Agent |
Order & Consent to Order |
| Boothby, Michael D. | 83394 | May 8, 2014 | Regulated Industries | Preneed Sales Agent |
Order of Suspension for Good Cause |
| Borcherding, Cory J. | 86403 | March 25, 2016 | Insurance | Producer |
Order and Consent to Order |
| Borrego, Jesse | 58629 |
Buda TX Allegation: Failure to notify Division of prior actions Resolution: Order: License revoked; pay Fine of $500 and Costs of $200 before relicensure. Date of Order/Settlement: 2005-04-26 00:00:00 |
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| Brad Denning | 100394 | July 3, 2019 | Insurance | Producer |
Order and Consent to Order |
| Bradford, Shaylea C. | 86231 | March 12, 2015 | Insurance | Producer |
Order for Suspension |
| Bradley, Patricia A. | 85185 | November 12, 2014 | Insurance | Producer |
Order for Suspension |
| Brady J. Janssen | 108362 | February 11, 2021 | Insurance | Producer |
Order for Suspension |
| Brandi Kay Preul | 102238 | June 25, 2019 | Insurance | Producer |
Order and Consent to Order |
| Brandon Guy | 96721 | February 6, 2018 | Insurance | Producer |
Order for Suspension |
| Brandon Morgan | 102339 | September 13, 2019 | Insurance | Producer |
Order for Suspension |
| Bratty, Brooke | 59315 |
Council Bluffs IA Allegation: Sale of unregistered securities and/or business opportunities; failure to cooperate in an investigation by the Insurance Division. Resolution: Order signed: Insurance license suspended; Pay $500 Fine; provide information to Iowa Ins. Div before suspension is lifted. Date of Order/Settlement: 2003-05-08 00:00:00 |
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| Bray, Rebecca A. | 58002 |
Orange City IA Allegation: Failure to respond Resolution: Order Signed: License Suspended; $500 Fine; $100 Costs; Respond to Division Date of Order/Settlement: 2000-07-12 00:00:00 |
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| Brean Murray Carret & Company LLC |
New York NY Allegation: Failure to file audited financial report. Resolution: Broker dealer license is suspended; civil penalty $1000; suspension lifted when compliance is complete. Date of Order/Settlement: 2006-05-26 00:00:00 |
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| Brenda S. Murray | 103557 | December 11, 2020 | Insurance | Producer |
Order and Consent to Order |
| Brenton, Shannon | 92061 | November 28, 2016 | Insurance | Producer |
Order Reinstating License After Suspension and Order for Suspension |
| Brenton, Shannon | 92061 | January 13, 2017 | Insurance | Producer |
Order Vacating Reinstatement and Re-Imposing Suspension |
| Brian T. Zimmerman | 100419 | January 10, 2019 | Insurance | Producer |
Order and Consent to Order |
| Brian Todd Thompson | 94359 | September 10, 2018 | Insurance | Producer |
Order for Reissuance After License Suspension and Expiration |
| Bridget Crane | 98330 | July 23, 2018 | Insurance | Producer |
Order for Suspension |
| Bries, Michael | 76000 | May 1, 2012 | Insurance | Producer |
Order for Suspension |
| Bristol West Insurance Company | 67308 | March 28, 2011 | Insurance | Insurance Company |
Order and Consent to Order |
| Brittany M. Steapp | 108335 | February 10, 2021 | Insurance | Producer |
Order for Suspension |
| Broadspire Services Inc | 80602 | September 24, 2013 | Insurance | Third Party Administrator |
Order & Consent to Order |
| Brock R. DeVries | 103128 | March 26, 2021 | Insurance | Producer |
Findings of Fact, Conclusions of Law, and Final Orders |
| Broessel, Christopher R. | 84457 | September 22, 2014 | Insurance | Producer |
Order for Suspension |
| Bronfman, Aharon |
South San Francisco CA Allegation: Unlicensed Investment Advisor and Representative; Misrepresentations and Omissions. Resolution: Cease & Desist order issued and a monetary penalty assessed. Date of Order/Settlement: 2007-08-13 00:00:00 |
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| Bronson, Michael J. | 58437 |
Cedar Rapids IA Allegation: Referencing himself as a financial planner Resolution: Consent signed: Cease representing himself as a Financial Planner; 2 years probation; $250 Fine and $250 Costs Date of Order/Settlement: 2005-07-07 00:00:00 |
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| Brooke Life Insurance Company | 89182 | October 30, 2015 | Insurance | Insurance Company |
Regulatory Settlement Agreement |
| Brown, Jami Lynn | 86616 | April 17, 2015 | Insurance | Producer |
Order for Suspension |
| Brown, Kunta L. | 81358 | December 11, 2013 | Insurance | Producer |
Order for Suspension |
| Brown, Russell | 77643 | October 11, 2012 | Insurance | Producer |
Order for Suspension |
| Bruce A. Hauptman | 92501 | April 6, 2018 | Securities | Unlicensed |
Findings of Fact, Conclusions of Law and Final Order |
| Bruce Billesbach | 99967 | March 12, 2019 | Securities | Unlicensed |
Findings of Fact, Conclusions of Law, and Final Order |
| Bryan Bryant | 105052 | April 22, 2020 | Insurance | Producer |
Order for Suspension |
| Buchholz, Barry L. | 59306 |
Cedar Rapids IA Allegation: Replacement violations Resolution: Consent signed: Cease and desist violating replacement laws and regulations: pay $2000 Civil Penalty; $500 Costs Date of Order/Settlement: 2003-03-11 00:00:00 |