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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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Name Sort descending Case Number Enforcement Date Subject Entity Order
Chastang, Jasmine 81328 February 6, 2014 Insurance Producer

Default Order

Chieves, Ritchie

Ames IA

Allegation: Misappropriated premium dollars for personal business expenses.

Resolution: Consent Order signed to permanently revoke insurance producer license and is barred from reapplying for an insurance license in the State of Iowa. Chieves is also permanently barred from applying for a securities agent license in the State of Iowa.

Date of Order/Settlement: 2007-07-11 00:00:00

Christ, Rebekah N. 82185 September 25, 2014 Insurance Producer

Order & Consent to Order

Christensen Jr., Robert A. 59340

Atlantic IA

Allegation: Violation of Commissioners Order; Dishonest practices and incompetence; Failure to inform of address change

Resolution: Order: License revoked

Date of Order/Settlement: 2003-03-21 00:00:00

Christensen, Daniel J. 59300

Dubuque IA

Allegation: Failure to cooperate in an investigation

Resolution: Order: Insurance License suspended; $500 Fine; $100 Costs; respond to Division inquiry

Date of Order/Settlement: 2003-05-22 00:00:00

Christian, Crystal 58178

Colorado Springs CO

Allegation: Failure to disclose information on license application; Failure to notify Division of prior actions.

Resolution: Order signed: License revoked; Pay $500 fine before license may be restored.

Date of Order/Settlement: 2005-04-18 00:00:00

Christian, Kevin M. 59663

Des Moines IA

Allegation: Failure to notify of other states actions; accepting insurance business from unlicensed persons;

Resolution: Consent Signed: 2 year license probation; Pay Reimbursement of $300; $500 Fine; Sales restrictions

Date of Order/Settlement: 2003-02-07 00:00:00

Christine A. Willis 112701 March 9, 2022 Insurance Producer

Order for Suspension

Christine A. Wilson 102146 October 31, 2019 Insurance Producer

Order Denying License Reinstatement After Suspension

Christine A. Wilson 102146 June 13, 2019 Insurance Producer

Order and Consent to Order

Christine R. Nelson 86713 February 24, 2015 Regulated Industries Preneed Seller

Cease and Desist Order

Christopher Goerdt 101762 January 21, 2020 Insurance Producer

Findings of Fact, Conclusions of Law and Orders of Revocation, to Cease and Desist, and Other Relief 

Christopher L. Childers 105894 July 6, 2021 Insurance Producer

Order Reinstating License After Suspension

Christopher L. Childers 105894 September 9, 2020 Insurance Producer

Order and Consent to Order

Christopher L. Cruse 96374 March 28, 2018 Insurance Producer

Order for Suspension

Christopher Novotny 111360 January 3, 2022 Insurance Producer

Order for Suspension

Church Life Insurance

New York NY

Allegation: Violation of Iowa Unauthorized Insurers Act.

Resolution: Consent issued and monetary penalty assessed.

Date of Order/Settlement: 2008-11-10 00:00:00

Ciha, Daniel W. 82538 March 4, 2014 Regulated Industries Preneed Sales Agent, Preneed Seller, Unlicensed

Cease & Desist Order and Order of Suspension and Notice of Right of Hearing

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

Cillo, Mark

Saint Louis MO

Allegation: Summary Cease and Desist Order

Resolution: Order Vacating Summary Cease and Desist Order

Date of Order/Settlement: 2009-05-27 00:00:00

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

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

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

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

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
 

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

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

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

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

Conseco Annuity Assurance Company 59460

Carmel IN

Allegation: Failure to respond to Division

Resolution: Consent signed: Provide response to Division; pay $500 Fine $100 Costs

Date of Order/Settlement: 2002-09-27 00:00:00

Conseco Annuity Assurance Company 58369

Carmel IN

Allegation: Failure to respond to IID inquiry

Resolution: Consent Signed: Respond to IID; Pay $500 Fine and $100 Costs

Date of Order/Settlement: 2002-07-10 00:00:00

Conseco Annuity Assurance Company 59652

Carmel IN

Allegation: Failure to respond to IID inquiry

Resolution: Consent Signed: Respond to IID: Pay $500 Fine; $100 Costs

Date of Order/Settlement: 2002-09-10 00:00:00

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

Conseco Life Insurance Company May 28, 2010 Insurance Insurance Company

Regulatory Settlement Agreement

Conseco Senior Health Insurance Company

Carmel IN

Allegation: Failure to respond to IID inquiry

Resolution: Consent Signed: Respond to IID: Pay $500 Fine; $100 Costs

Date of Order/Settlement: 2002-09-10 00:00:00

Conseco Senior Health Insurance Company

Carmel IN

Allegation: Failure to respond to Division inquiry

Resolution: Consent Signed: Provide response to Division; Pay $500 Fine $100 Costs

Date of Order/Settlement: 2002-09-25 00:00:00

Conseco Senior Health Insurance Company

Carmel IN

Allegation: Failure to respond to IID inquiry

Resolution: Consent Signed: Respond to IID; Pay $500 Fine; $100 Costs

Date of Order/Settlement: 2002-07-10 00:00:00

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 59733

Chicago IL

Allegation: Failure to respond to Division inquiry

Resolution: Consent signed: Respond to inquiry; $500 Fine; $100 Costs

Date of Order/Settlement: 2002-02-20 00:00:00

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

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