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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Displaying 251 - 300 of 1381| Name Sort descending | Case Number | Enforcement Date | Subject | Entity | Order |
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| Cillo, Mark | Saint Louis MO Allegation: Misrepresentation Resolution: Order Vacating Summary Cease and Desist Order Date of Order/Settlement: 2009-05-27 00:00:00 |
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| Cillo, Mark | Saint Louis MO Allegation: Violated Iowa Insurance Trade Practices Act Resolution: Summary Cease and Desist Order. Date of Order/Settlement: 2009-02-10 00:00:00 |
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| Citigroup Global Markets Inc | 58412 | New York NY Allegation: Business practices allowed investment bankers inqppropriate influence over research analysts; allowed spinning inaccurate records as to IPO distributions Resolution: Consent to order without admitting or denying; pay $1500000 Fine Date of Order/Settlement: 2004-02-16 00:00:00 |
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| Citigroup Global Markets Inc | 87635 | November 25, 2015 | Securities | Broker Dealer | Administrative Consent Order |
| Clapper, Jill | 69794 | November 4, 2011 | Regulated Industries | Preneed Sales Agent | Consent to Order |
| Clark, Deborah | Quimby IA Allegation: Consumer Complaints Resolution: Order & Consent to Order with a Heightened Supervision Agreement Date of Order/Settlement: 2006-08-18 00:00:00 |
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| Clark, John T. | 81918 | December 1, 2014 | Insurance | Producer | Order & Consent to Order |
| Clem, Anthony | Ames IA Allegation: Sumitted a falsified proof of insurance card to Insurance Company to obtain a refund of premiums for customer. Resolution: Consent Order issued and monetary penalty assessed. Date of Order/Settlement: 2008-09-11 00:00:00 |
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| Cochran, David | 73972 | March 27, 2012 | Insurance | Producer | Order for Suspension |
| Coleman, Ronald | 68603 | March 8, 2011 | Insurance | Producer | Order and Consent to Order |
| Coleman, Tisha | 74144 | April 5, 2012 | Insurance | Producer | Order for Suspension |
| Colorado Bankers Life Insurance Company | January 31, 2020 | Insurance | Insurance Company | Summary Order of Suspension |
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| Colton James Umbarger | 109718 | August 9, 2021 | Insurance | Producer | Order for Suspension |
| Combined Insurance Company of America | Glenview IL Allegation: Failed to implement adequate procedures to ensureproper licensure of its independent agents thereby resulting in the sale of policies by an unlicensed agent. Resolution: Order and Consent to Order - Civil penalty and costs imposed. Date of Order/Settlement: 2007-03-07 00:00:00 |
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| Comeau, Perry | Oelwein IA Allegation: Unregistered investment advisor and representative. Resolution: Consent Order signed and civil penalty assessed. Date of Order/Settlement: 2007-05-21 00:00:00 |
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| Companion Life Insurance Company | 106189 | June 8, 2021 | Insurance | Insurance Company | Regulatory Settlement Agreement |
| Conoco Phillips Company | Houston TX Allegation: Failure to provide current loss reserves for Iowa Resolution: Consent Order issued and monetary penalty assessed. Date of Order/Settlement: 2006-08-20 00:00:00 |
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| Conroy, John | East Norwich NY Allegation: Prior regulatory action taken. Resolution: Summary Order Denying Application for Securities Agent License. Date of Order/Settlement: 2008-09-12 00:00:00 |
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| Conseco Life Insurance Company | May 28, 2010 | Insurance | Insurance Company | Regulatory Settlement Agreement |
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| Conseco Life Insurance Company | Allegation: Failure to respond to company exam relating to the use of R-Factor in policies. Resolution: Consent Order - Civil penalty $725000 and costs assessed. Date of Order/Settlement: 2007-03-21 00:00:00 |
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| Consolidated USA Insurance, Inc | 85163 | March 2, 2015 | Insurance | Business Entity Producer | Summary Order to C&D by Consent and Statement of Charges |
| Continental Casualty Company | 82348 | March 10, 2014 | Insurance | Insurance Company | Order & Consent to Order |
| Cooper, Anastasia B. | 58581 | Charlotte NC Allegation: Failure to notify of other states action Resolution: Consent: Cease and desist violation; pay $125 Fine and $125 Costs Date of Order/Settlement: 2005-09-14 00:00:00 |
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| Cooper, Byron D. | 59331 | Cedar Rapids IA Allegation: Unlicensed to sell securities; Sale of alleged investments in unregistered securities promissory notes Resolution: Consent signed: Cease and desist sale or offer to sell securities without a securities license; 2 years probation; $5000 civil penalty. Date of Order/Settlement: 2004-08-11 00:00:00 |
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| Cooper, Tawny | 100776 | May 6, 2019 | Insurance | Producer | Order for Suspension |
| Cooper, Vernon | Rochester MN Allegation: Plead guilty to criminal charges. Resolution: Consent Order - producer license is revoked and Cooper is permanently barred from reapplying. Date of Order/Settlement: 2007-05-21 00:00:00 |
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| Copeland, James | 73628 | February 21, 2012 | Insurance | Producer | Order for Suspension |
| Copeman, Jeffrey | 100362 | March 22, 2019 | Insurance | Producer | Order Reinstating License After Suspension and Order for Suspension |
| Corder, Sandy | Highland IN Allegation: Failure to respond to Division inquiries; submitted insufficient funds check. Resolution: Consent to Order: License revoked; Pay $100 costs and fines before reapplication for licensure in Iowa; Cease and desist any violation of Iowa insurance laws Date of Order/Settlement: 2005-02-24 00:00:00 |
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| Cory Stucky | 105122 | April 16, 2020 | Insurance | Producer | Order for Suspension |
| Covals Douze | 97894 | September 20, 2018 | Insurance | Producer | Findings of Fact, Conclusions of Law, and Final Orders |
| Covenant Benefits, Inc. a/k/a Covenant Advisors and Noah James Aulwes a/k/a Tom Lee Aulwes a/k/a Thomas Lee Aulwes | 66957 | August 24, 2010 | Securities, Insurance | Investment Adviser Representative, Producer | Order and Consent to Order and Agreement |
| Coventry Health Care of Iowa | Urbandale IA Allegation: Denial of coverage Resolution: Decision rendered based on facts presented. Contract will terminate 10 days after decision issued. Claims will be paid for submitted or medical charges incurred as provided under terms of contract during period of coverage. Date of Order/Settlement: 2007-07-18 00:00:00 |
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| Coventry Health Care of Iowa | Urbandale IA Allegation: Denial of coverage Resolution: Decision rendered. Insurer hasnt sustained burden of poof. Cancellation not upheld and policy remains in force. Date of Order/Settlement: 2007-09-12 00:00:00 |
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| Crager, Jamie and Blazefly, Inc. | 96501 | June 21, 2018 | Securities | Unlicensed | Findings of Fact, Conclusions of Law, and Final Order |
| Craig, Bradley D. | 95013 | September 13, 2017 | Insurance | Producer | Order, Consent to Order, and Agreement to Supervise |
| Crawford, Angela L. | 80571 | September 30, 2013 | Regulated Industries | Preneed Sales Agent | Order & Consent to Order |
| Credit Suisse First Boston LLC | 59096 | New York NY Allegation: Failure to supervise; Conflicts of interest between banking and analyst functions Resolution: Consent Order: without admitting or denying allegations to Cease and Desist; Pay $750000 Fine Date of Order/Settlement: 2004-03-30 00:00:00 |
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| Critchfield, Jack A. | 83395 | September 4, 2014 | Regulated Industries | Preneed Sales Agent | Order & Consent to Order |
| Cross, Jared M. | 80570 | November 1, 2013 | Regulated Industries | Preneed Sales Agent | Default Order |
| Cross, Scott K. | 58065 | Perry IA Allegation: Improper withholding misappropriating or conversion of moneys; failure to cooperate with investigation by commissioner Resolution: Order signed: License revoked Date of Order/Settlement: 2004-10-05 00:00:00 |
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| Crosser, Kenneth | 80240 | February 12, 2014 | Securities, Insurance | Investment Adviser Representative, Producer, Securities Agent | Order and Consent to Order |
| Crouch, Kelly D. | 75964 | April 19, 2012 | Insurance | Producer | Consent Order |
| Crown Life Insurance Company | 58493 | Regina Saskatchewant Canada Allegation: Failure to respond to Divisions inquiry Resolution: Consent: Provide substantive response; Pay $500 Costs Date of Order/Settlement: 2004-05-14 00:00:00 |
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| Crystal Garner | 98304 | July 23, 2018 | Insurance | Producer | Order for Suspension |
| Cullor, Aaron Rex | 85150 | November 12, 2014 | Insurance | Producer | Default Order of Revocation, Cease & Desist and Civil Penalty |
| Cummings, Ryan C. | 83506 | July 15, 2014 | Insurance | Producer | Order for Suspension |
| Cunningham, Kevin J. | 58160 | Palos Park IL Allegation: Revocation of license by another state; failure to cooperate with investigation Resolution: Consent signed: two years probation; report any administrative action within 30 days; cease and desist any violation of Iowa insurance laws;pay $350 Fine and $100 Costs Date of Order/Settlement: 2005-07-06 00:00:00 |
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| Cursta Williams | 103107 | October 30, 2019 | Insurance | Producer | Default Order, Findings of Fact, Conclusions of Law and Order |
| Curtin, Jeffrey C. | 58576 | Oklahoma City OK 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 |