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.
Click to subscribe for an email update when new orders are added to this page.
| Name | Case Number | Order Date | Subject | Entity | Order |
|---|---|---|---|---|---|
| Ernst, Cory J. | 82230 | January 8, 2014 | Insurance |
Order & Consent to Order |
|
| Equiguard Agency Inc., dba The Equiguard Agency, Inc. and David Roberts | 112527 | February 9, 2022 | Insurance | Unlicensed |
Summary Cease and Desist Order |
| 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 |
|||
| 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 |
|||
| Ellis, James J. | 71588 | August 8, 2011 | Insurance | Producer |
Order & Consent to Order |
| Ellis, James J. | 76549 | August 22, 2012 | Insurance | Producer |
Proposed Decision |
| Ellis, James J. | 76549 | April 16, 2012 | Insurance | Producer |
Order of Summary Suspension and Notice of Opportunity for Hearing |
| Ellis, James | 71588 | August 8, 2011 | Insurance | Producer |
Order and Consent to Order |
| Eldon L. Neighbor | 104101 | September 8, 2020 | Insurance | 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 |
|||
| eHealth Insurance Services, Inc. | 103556 | July 14, 2020 | Insurance | Business Entity Producer |
Order and Consent to Order |
| Ege Jr., John L. | 81007 | November 4, 2013 | Insurance | Producer |
Order Reinstating License After Suspension and Suspension Order |
| 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 |
||||
| 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 |
||||
| E*Trade Securities LLC | 73961 | September 17, 2012 | Securities | Broker Dealer |
Administrative Consent Order |
| Dunbar, De Borah | 84464 | November 12, 2014 | Insurance | Producer |
Default Order of Revocation, Cease & Desist and Civil Penalty |
| 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 |
||||
| Duehr, Mark | 69672 | April 11, 2011 | Insurance | Producer |
Default Order |
| Duane A. Carlson | 73964 | January 25, 2021 | Insurance | Producer |
Order Following Suspension and Expiration |
| Drivers Insurance Company | 80461 | June 3, 2013 | Insurance | Insurance Company |
Suspension 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 |
|||
| Douglas-Henderson, Donna | 83396 | July 16, 2014 | Regulated Industries | Preneed Sales Agent |
Order & Consent to Order |
| Douglas-Henderson, Donna | 83396 | May 29, 2014 | Regulated Industries | Preneed Sales Agent |
Order of Suspension for Good Cause |
| Douglas, Vincent | 76619 | June 13, 2012 | Insurance | Producer |
Order for Suspension |
| Douglas T. Beier | 107540 | November 30, 2020 | Insurance | Producer |
Order for Suspension |
| 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 |
| 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 |
| 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. |
| 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 |
|||
| 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 |
||||
| Doctors and Surgeons National Risk Retention Group IC, Inc. | November 1, 2016 | Insurance | Insurance Company |
Summary Order of Suspension |
|
| 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 |
|||
| 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 |
| Diaz, Rodrigo | 84186 | August 20, 2014 | Insurance | Producer |
Default Order of Revocation, Cease and Desist and Civil Penalty |
| 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 |
|||
| 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 |
|||
| Dencklau, John E. | 89967 | September 12, 2016 | Insurance | Producer |
Order Reinstating License After Suspension and Order and Consent to Order |
| Den Hartog, Deborah L. | 92275 | November 21, 2016 | Insurance | Producer |
Order for Suspension |
| Degeeter, Devin T. | 69101 | April 5, 2011 | Insurance | Producer |
Order and Consent to Order |
| Deerberg, Tiffney | 78705 | February 15, 2013 | Insurance | Producer |
Order for Suspension |
| 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 |
|||
| 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 |
||||
| 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 |
|||
| Dawn M. Burroughs | 95617 | November 13, 2018 | Insurance | Producer |
Order and Consent to Order |
| 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 |
||||
| 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, 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, Samele Becca | 87834 | August 19, 2015 | Insurance | Producer |
Order for Suspension |
| Davis, Korey | 78351 | November 27, 2012 | Insurance | Producer |
Order for Suspension |