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 | Case Number | Enforcement Date | Subject | Entity | Order |
|---|---|---|---|---|---|
| Thomas, Kirk | 83456 | June 23, 2014 | Regulated Industries | Preneed Sales Agent |
Order & Consent to Order |
| Thomas, Joyce B. | 58862 | August 16, 2005 | Insurance | Producer |
Order & Consent to Order |
| Thomas, Brodie | 72409 | November 16, 2011 | Insurance | Producer |
Order for Suspension |
| Thomas Weisel Partners LLC | 58660 |
San Francisco CA Allegation: Analyst conflict of interest case; ratings were tilted toward "buy" and "strong buy" analyst considered banking business in determining recommendations analysts compensation was tied to success in generating business. Resolution: Without admitting or denying findings of fact and conclusions of law TWP is ordered to cease and desist violations of the Iowa Uniform Securities Act consents to several undertakings and pay fine of $50000. Date of Order/Settlement: 2005-05-10 00:00:00 |
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| Thomas Clyce | 103767 | January 2, 2020 | Insurance | Producer |
Order for Suspension |
| Thomas A. Mulligan | 108957 | April 14, 2021 | Insurance | Producer |
Order for Suspension |
| Thoman, Linette E. | 84486 | August 25, 2014 | Insurance | Producer |
Order & Consent to Order |
| Thole, John M. | 58191 |
Iowa City IA Allegation: Failure to report administrative action Resolution: Order: License suspended; $500 Fine; $100 Costs; Report action to Division Date of Order/Settlement: 2001-01-05 00:00:00 |
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| Thiltgen, Sarah | 93273 | March 22, 2017 | Insurance | Producer |
Order for Suspension |
| Thiede, William A. | 69335 | April 10, 2012 | Insurance | Producer |
Default Order |
| Theresa L. Ellenwood | 108517 | February 23, 2021 | Insurance | Producer |
Order for Suspension |
| The Securities and Regulated Industries Bureau | 94918 | June 26, 2017 | Securities |
Order of Appointment |
|
| The Aliera Companies, Inc., Jessica Joy Buddington, Aliera Healthcare, Inc., Ensurian Agency, LLC, USA Benefits & Administrators, LLC, Advevo, LLC, and Tactic Edge Solutions, LLC | 105205 | July 12, 2021 | Insurance | Producer, Third Party Administrator, Unlicensed |
Order and Consent to Order |
| Terraza, Jose M. | 92369 | June 19, 2017 | Insurance | Producer |
Final Findings of Fact, Conclusions of Law and Order |
| Taylor, Thomas C. | 59369 |
Florissant MO Allegation: Failure to notify Division of criminal action Resolution: Order: License revoked; Pay $500 Fine and $200 Costs before relicensure Date of Order/Settlement: 2005-07-29 00:00:00 |
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| Taylor, Kimberly D. | 82934 | May 28, 2014 | Insurance | Producer |
Order for Suspension |
| Taylor, Keren M. | 90801 | June 28, 2016 | Insurance | Producer |
Order for Suspension |
| Tapken, John |
Marion IA Allegation: Issued retroactive coverage and forged client signatures. Resolution: Consent Order signed and civil penalty assessed. Date of Order/Settlement: 2007-07-24 00:00:00 |
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| Tanya Schettler | 107604 | February 23, 2021 | Insurance | Producer |
Order and Consent to Order |
| Tammie L. Strong | 108516 | March 1, 2021 | Insurance | Producer |
Order for Suspension |
| Tallett, David |
Cedar Rapids IA Allegation: Advertising Violation Resolution: Consent Order signed. Civil penalty assessed. Date of Order/Settlement: 2007-07-19 00:00:00 |
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| Symetra Life Insurance Company | 85949 | December 2, 2014 | Insurance | Insurance Company |
Regulatory Settlement Agreement |
| Sylvester, Jennifer L. | 89538 | April 14, 2016 | Insurance | Producer |
Order for Suspension |
| Swantek, Daniel M. | 93363 | March 21, 2017 | Insurance | Producer |
Order for Suspension |
| Swafford, Judi A. |
Oklahoma City OK Allegation: Failure to disclose on license application; failure to to notify Diviison of prior actions; revocation of license by another state; failure to cooperate with investigation Resolution: Order: License revoked; Pay $250 Fine before licensure may be restored Date of Order/Settlement: 2005-03-23 00:00:00 |
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| Svoboda, Steven |
Washington IA Allegation: Accepted money from clients that was intended for investment or savings purposes and converted those client funds for personal use. Resolution: Order of Summary Revocation Date of Order/Settlement: 2008-09-26 00:00:00 |
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| Surber, Ryan C. | 81919 | February 20, 2014 | Insurance | Producer |
Order for Suspension |
| Sunrise Energy Inc |
Irvine CA Allegation: Selling nregistered securities unregistered agent Resolution: Order: Cease and desist the offer or sale of and participating in the offer or sale of unregistered securities Date of Order/Settlement: 2004-08-06 00:00:00 |
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| Sun Life Companies | 85950 | December 2, 2014 | Insurance | Insurance Company |
Regulatory Settlement Agreement |
| Sullivan, Alan J. | 96085 | November 13, 2017 | Insurance |
Decision Vacating Denial and an Order Granting Consent to Work in Business of Insurance |
|
| Success Trust and Holding LLC |
Simpsonville SC Allegation: Sale of unregistered security. Resolution: Cease and Desist Order issued. Date of Order/Settlement: 2007-03-15 00:00:00 |
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| Strohmeier, Gretchen A. | 59071 |
Springboro OH Allegation: Selling annuity insurance policies in Iowa without a license in December 1994 and February 1995. Resolution: Consent signed: Pay $1100 Fine; Have active nonresident Iowa license before selling in Iowa; Report any administrative action taken within 30 days. Date of Order/Settlement: 2004-02-05 00:00:00 |
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| Strohbehn, Robert | 73969 | March 27, 2012 | Insurance | Producer |
Order for Suspension |
| Straw, Jack |
Cedar Rapids IA Allegation: Unlicensed SEC. Misrepresentation; misappropriation of funds. Resolution: Order of Summary Revocation and Order to Cease and Desist. Date of Order/Settlement: 2007-09-28 00:00:00 |
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| Stratton, Christine | 71103 | July 8, 2011 | Insurance | Producer |
Order for Suspension |
| Stratford Insurance Co. | 107932 | December 21, 2020 | Insurance | Business Entity Producer, Insurance Company |
Order and Consent to Order |
| Straka, Catherine A. | 58687 |
Council Bluffs IA Allegation: Misappropriation of client funds Resolution: Consent signed: Insurance license revoked; permanently barred from reapplying for an insurance producer license. Date of Order/Settlement: 2003-08-08 00:00:00 |
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| Stotmeister, Sheldon | 74151 | April 5, 2012 | Insurance | Producer |
Order for Suspension |
| Story, Ernest A. | 92757 | March 21, 2017 | Insurance | Producer |
Order for Suspension |
| Stoner, Charles |
Omaha NE Allegation: sold insurance polices for a company not licensed to do business in Iowa. Resolution: Consent Order issued and license revoked. Date of Order/Settlement: 2008-07-21 00:00:00 |
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| StoneMor Iowa LLC | 85220 | September 17, 2014 | Regulated Industries | Other |
Consent Order & Civil Penalty |
| Stoneking, Jason | 72566 | September 27, 2011 | Insurance | Producer |
Order for Suspension |
| Stites, Randy | 70933 | August 5, 2011 | Insurance | Producer |
Default Order |
| Stewart, Jeffrey A. | 81432 | October 15, 2013 | Securities, Insurance | Investment Adviser Representative, Producer |
Order & Consent to Order |
| Stewart Hinerfeld | 95835 | October 6, 2017 | Securities | Investment Adviser Representative |
Order Granting Waiver of Series 65 Exam |
| Stevens, Mike | 58018 |
Eagle Grove IA Allegation: Acting as unregistered securities agent Resolution: Order: Cease and desist acting as a securities agent without registration. Date of Order/Settlement: 2004-04-20 00:00:00 |
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| Steven A. Olejniczak | 93392 | February 8, 2017 | Securities, Insurance | Producer, Securities Agent |
Order and Consent to Order |
| Steve's Roofing, Inc | 70835 | September 5, 2014 | Insurance |
Order Affirming Insurer's Decision |
|
| Steve's Roofing, Inc | 70907 | August 20, 2013 | Insurance |
Order on Remand |
|
| Sterling Blackthorn Inc |
Mount Pleasant MI Allegation: Selling/offering unregistered securities in Iowa. Resolution: Order: Cease and desist the offer or sale of unregistered and non exempt securities in Iowa. Date of Order/Settlement: 2004-06-10 00:00:00 |