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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| Doctors and Surgeons National Risk Retention Group IC, Inc. | November 1, 2016 | Insurance | Insurance Company | Summary Order of Suspension |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| Essig, Ruthann | 68951 | March 15, 2011 | Insurance | Producer | Suspension Order |