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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
Davis, Shana M.

Des Moines IA

Allegation: Violations of Securities Act; Unregistered agent & investment adviser representative Misrepresentations & Omissions Cease and Desist orders issued by other states

Resolution: Consent: pay $3000 Costs; cooperate in investigation;

Date of Order/Settlement: 2006-02-23 00:00:00

Davis, William

Spirit Lake IA

Allegation: Appealed denial of licensure.

Resolution: Appeal Decision: Denied Securities license; as to his insurance license the decision of the administrative law judge is affirmed. Davis is suspended for a period of three months and is assessed a civil penalty.

Date of Order/Settlement: 2007-08-20 00:00:00

Davis, William J.

Spirit Lake IA

Allegation: Child Support Violation

Resolution: Order for Suspension issued.

Date of Order/Settlement: 2008-05-16 00:00:00

Dawn M. Burroughs 95617 November 13, 2018 Insurance Producer

Order and Consent to Order

Decambra, Jennifer L. 58116

Limestone ME

Allegation: Failure to notify Division of prior actions

Resolution: Order: License revoked; Pay $500 Fine before licensure is restored

Date of Order/Settlement: 2005-03-24 00:00:00

Dedicated Resources Inc

Miami FL

Allegation: Not a registered broker/dealer agents; sale of unregistered securities (viaticals)

Resolution: Consent signed: Cease and desist the offer or sale of unregistered securities (viatical settlement) investment contracts to persons residing in Iowa.

Date of Order/Settlement: 2005-09-10 00:00:00

Deel, Stephanie J. 58128

Chesapeake VA

Allegation: Incorrect information on License application; failure to notify Division of prior actions

Resolution: Order: License revoked; $500 Fine; $200 Costs

Date of Order/Settlement: 2005-05-23 00:00:00

Deerberg, Tiffney 78705 February 15, 2013 Insurance Producer

Order for Suspension

Degeeter, Devin T. 69101 April 5, 2011 Insurance Producer

Order and Consent to Order 

Den Hartog, Deborah L. 92275 November 21, 2016 Insurance Producer

Order for Suspension

Dencklau, John E. 89967 September 12, 2016 Insurance Producer

Order Reinstating License After Suspension and Order and Consent to Order

Denney, Janis I. 59676

Mount Ayr IA

Allegation: Misappropriation of premiums

Resolution: Consent: License revocation; cooperate with the IID investigation

Date of Order/Settlement: 2003-01-16 00:00:00

Deutsche Bank Securities Inc 58659

New York NY

Allegation: Engaged in acts or practices that created/maintained inappropriate influence by investment banking over research analysts failed to have adequate policies and procedures to handle conflicts of interest failed to produce emails as requested

Resolution: Without admitting or denying findigs offact and conclusions of law DBS will cease and desist violations of the Iowa Uniform Securities Act will comply with several undertakings and pay $287500 Fine.

Date of Order/Settlement: 2005-05-16 00:00:00

Diaz, Rodrigo 84186 August 20, 2014 Insurance Producer

Default Order of Revocation, Cease and Desist and Civil Penalty

Direct Mail Processing, LLC; Rehg Data Assets, Inc. D/B/A RGI Data Assets, Inc.; Katherine Rehg 107696 December 21, 2020 Insurance Unlicensed

Summary Cease and Desist Order

Dixon, William R. 59391

Apalachin NY

Allegation: Failure to report another states administrative action

Resolution: Consent signed: Cease and desist violations of Iowa insurance statutes and rules; pay $125 Fine and $125 Costs

Date of Order/Settlement: 2005-09-23 00:00:00

Doctors and Surgeons National Risk Retention Group IC, Inc. November 1, 2016 Insurance Insurance Company

Summary Order of Suspension

Dodd, Larenzo

Cedar Rapids IA

Allegation: Failure to disclose all criminal convictions on application

Resolution: Order: Denial of application for an linsurance license is upheld.

Date of Order/Settlement: 2004-06-24 00:00:00

Dolphin, Troy W. 58828

Des Moines IA

Allegation: Insurance application fraud

Resolution: Consent Signed: Surrender Iowa insurance producer license; refrain from reapplying; refrain from violations of Iowa insurance laws or regulations.

Date of Order/Settlement: 2003-10-07 00:00:00

Donald Ira Pinansky; Dylan Brent Sporn; Marc Shaye Sporn; Brynna Starr Sporn; Consolidated USA Insurance, Inc.; Starr Insurance Group Inc.; Amerco Group, Inc. fka Amerco Insurance, Inc.; Xchange Benefits LLC; and Selected Market Insurance 85163 November 26, 2016 Insurance Business Entity Producer, Producer, Unlicensed

Default Decision and Order to Cease and Desist and for Payment of Civil Penalties and Costs as to Starr Insurance Group Inc. 

Dorenkamp, Teresa Jo 72765 September 29, 2011 Securities Securities Agent

Order of Summary Suspension and Notice of Opportunity for Hearing; Order of Revocation of Securities Agent License

Douglas R. Potter 104962 November 3, 2020 Insurance Producer

Order of Revocation and to Cease and Desist

Douglas R. Potter 104962 July 29, 2020 Insurance Producer

Order and Consent to Order

Douglas T. Beier 107540 November 30, 2020 Insurance Producer

Order for Suspension

Douglas, Vincent 76619 June 13, 2012 Insurance Producer

Order for Suspension

Douglas-Henderson, Donna 83396 May 29, 2014 Regulated Industries Preneed Sales Agent

Order of Suspension for Good Cause

Douglas-Henderson, Donna 83396 July 16, 2014 Regulated Industries Preneed Sales Agent

Order & Consent to Order

Dressander, Michael S. 58732

Naperville IL

Allegation: Omission from insurance application; misrepresentation in insurance applications

Resolution: Consent signed: 2 yrs probation; Pay $2000 Fine; $500 Costs; Agrees to sign only those applications he personally solicits

Date of Order/Settlement: 2003-08-29 00:00:00

Drivers Insurance Company 80461 June 3, 2013 Insurance Insurance Company

Suspension Order

Duane A. Carlson 73964 January 25, 2021 Insurance Producer

Order Following Suspension and Expiration

Duehr, Mark 69672 April 11, 2011 Insurance Producer

Default Order

Duffin, Richard

Lehi UT

Allegation: Unregistered investment advisor and representative.

Resolution: Consent Order signed and civil penalty assessed.

Date of Order/Settlement: 2007-05-29 00:00:00

Dunbar, De Borah 84464 November 12, 2014 Insurance Producer

Default Order of Revocation, Cease & Desist and Civil Penalty

E*Trade Securities LLC 73961 September 17, 2012 Securities Broker Dealer

Administrative Consent Order

Edward D. Jones & Company LP

St. Louis MO

Allegation: Failed to reasonably supervise securities agent

Resolution: Cease and desist filing to supervise; Pay $9500 Fine and Costs

Date of Order/Settlement: 2004-10-07 00:00:00

Ege Jr., John

Cherokee IA

Allegation: Failure to report criminal charges

Resolution: Order and Consent to Order civil penalty and costs assessed.

Date of Order/Settlement: 2006-07-24 00:00:00

Ege Jr., John L. 81007 November 4, 2013 Insurance Producer

Order Reinstating License After Suspension and Suspension Order

eHealth Insurance Services, Inc. 103556 July 14, 2020 Insurance Business Entity Producer

Order and Consent to Order

Eichelberger, Kraig R. 58827

Dysart IA

Allegation: Advertising violations

Resolution: Consent signed: Obey all Iowa insurance advertising regulations; 2 year probation; pay costs of $250.

Date of Order/Settlement: 2003-10-14 00:00:00

Eldon L. Neighbor 104101 September 8, 2020 Insurance Producer

Order and Consent to Order

Ellis, James 71588 August 8, 2011 Insurance Producer

Order and Consent to Order

Ellis, James J. 76549 April 16, 2012 Insurance Producer

Order of Summary Suspension and Notice of Opportunity for Hearing

Ellis, James J. 71588 August 8, 2011 Insurance Producer

Order & Consent to Order

Ellis, James J. 76549 August 22, 2012 Insurance Producer

Proposed Decision

Employers Mutual LLC 59720

Carson City NV

Allegation: Unauthorized business of insurance

Resolution: Order signed: Cease and Desist doing business of insurance; $50000 Fine

Date of Order/Settlement: 2002-01-14 00:00:00

Engels, Constance D. 58476

Marble Rock IA

Allegation: Unsuitable sales

Resolution: Consent signed: 2 yrs probation; $500 F; document suitability for all new and replacement life insurance and annuity sales

Date of Order/Settlement: 2004-04-02 00:00:00

Equiguard Agency Inc., dba The Equiguard Agency, Inc. and David Roberts 112527 February 9, 2022 Insurance Unlicensed

Summary Cease and Desist Order

Ernst, Cory J. 82230 January 8, 2014 Insurance

Order & Consent to Order

Erwin, Gary 59465

Davenport IA

Allegation: Failure to pay penalty & costs from previous actions

Resolution: Consent Signed: Revocation of license until penalty and costs paid

Date of Order/Settlement: 2001-09-05 00:00:00

Essig, Ruthann 68951 March 15, 2011 Insurance Producer

Suspension Order