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 |
|---|---|---|---|---|---|
| Skidmore, Cody | 85437 | December 17, 2014 | Insurance | Producer |
Order for Suspension |
| Skaggs, Christopher |
Iowa City IA Allegation: Failure to disclose criminal history. Resolution: Order and Consent to Order; Civil penalty. Date of Order/Settlement: 2007-05-03 00:00:00 |
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| Siroky, Pamela | 85165 | November 24, 2015 | Insurance | Producer |
Order & Consent Order |
| Simonsen Capital LLC |
Coralville IA Allegation: Acting as unlicensed investment adviser and unlcensed investment adviser representative in Iowa Resolution: Voluntary agreement to register as investment adviser and investment adviser representative notify the Securities Bureau of any consumer complaints for calendar year 2005; pay $500 Costs. Date of Order/Settlement: 2005-01-04 00:00:00 |
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| Simon, Joseph | 68909 | June 10, 2011 | Regulated Industries | Preneed Sales Agent |
Order and Consent to Order |
| Simmons, Henry E. |
Virginia Beach VA Allegation: Failure to notify Division of prior actions; failure to cooperate with investigation; denial of license by another state. Resolution: Order: License revoked; Pay $250 Fine and respond to division inauires before license may be restored. Date of Order/Settlement: 2005-07-01 00:00:00 |
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| Simmons, Henry | 58158 |
Virginia Beach VA Allegation: Failure to notify of other state administrative action; Failure to respond Resolution: Order- License revoked. Date of Order/Settlement: 2005-07-01 00:00:00 |
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| Silva Shea |
Santa Ana CA Allegation: Sale of unregistered securities by an unregistered agent Resolution: Order: Cease and desist of sale or offer of sale of unregistered securities in Iowa Date of Order/Settlement: 2004-08-06 00:00:00 |
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| Siebring, Gordon |
Albion IA Allegation: Sale of unregistered non exempt securities by an unregistered agent Resolution: Cease and desist the offer or sale of unregistered and non-exempt securities in Iowa Date of Order/Settlement: 2004-05-03 00:00:00 |
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| Siebring Export Inc |
Albion IA Allegation: Sale of unregistered securities by an unregistered agent Resolution: Cease and desist the offer or sale of unregistered non-exempt securities in Iowa Date of Order/Settlement: 2004-05-03 00:00:00 |
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| Siamis, Dennis T |
Cedar Rapids IA Allegation: Engaged in dishonest or unethical practices in the securities business Resolution: Consent: Surrender insurance license and disqualified for 5 years from reapplying for an insurance license in Iowa with no promise or assurance of approval for licensure in the future. Date of Order/Settlement: 2003-04-28 00:00:00 |
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| Shoemaker, Robert | 78764 | February 18, 2013 | Insurance | Producer |
Order for Suspension |
| Shipley, James | 68175 | September 15, 2011 | Insurance | Producer |
Order and Consent Order |
| Shearer, Sharon | 78707 | February 15, 2013 | Insurance | Producer |
Order for Suspension |
| Shay Cameron | 107813 | December 18, 2020 | Insurance | Producer |
Order for Suspension |
| Shawn R. Still | 104960 | October 1, 2020 | Insurance | Producer |
Order and Consent to Order |
| Shad N. Clayton | 68943 | September 7, 2017 | Insurance | Producer |
Order For Reissuance After License Suspension and Expiration |
| Sferrazza, Angelo and IL Bridge Fund LLC | 72127 | September 26, 2011 | Securities | Unlicensed |
Stop Order, Cease and Desist Order; Agreement Order, Consent to Order |
| Sessions, Christopher | 78212 | November 13, 2012 | Insurance | Producer |
Order for Suspension |
| Sessions, Charles | 73409 | April 12, 2012 | Insurance | Producer |
Suspension Order; Order Reinstating License After Suspension |
| Serati, Stephen | 78901 | July 30, 2013 | Insurance | Producer |
Order for Suspension; Order Reinstating License After Suspension |
| Sensor, Edward Lee |
Sterling IL Allegation: Unlicensed Insurance Producer; Twisting Policies; Misrepresentations in insurance applications; Suitability; Personal Loan from unrelated insurance customer; lack of character and competence Resolution: Order: Adjudged to have committed the violations; Cease and desist from any further actions as set forth in the Statement of Charges; Assessed $2000 fine and $500 costs. Date of Order/Settlement: 2004-05-24 00:00:00 |
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| Sensor, Edward L. |
Sterling IL Allegation: Unlicensed insurance producer; twisting; misrepresentations;suitability; personal loan; lack of character and competence; Resolution: Cease and Desist Order: the offer or sale of unregistered securities; lending or borrowing money or securities from an unrelated customer; making untrue statements of material facts; omission of material facts; $5000 Fine. Date of Order/Settlement: 2004-03-30 00:00:00 |
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| Senior Health Insurance Company of Pennsylvania | July 8, 2019 | Insurance | Insurance Company |
Order and Consent to Order |
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| Senior Direct, Inc. | 92544 | November 7, 2016 | Insurance |
Order and Consent to Order |
|
| Semon, Roy L. | 58680 |
Sergeant Bluff IA Allegation: Advertising violations Resolution: Consent signed: 2 yr probation; $500 Fine and $200 Costs paid. Date of Order/Settlement: 2003-06-02 00:00:00 |
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| Sell, Steven J. | 58419 |
Omaha NE Allegation: Forgery of signature on a transfer document Resolution: Consent Signed: Cease & desist from violation of IA insurance or securities laws; 2 yr probation; 2 yr supervision and review; pay $1000 Fine and $250 Costs Date of Order/Settlement: 2004-02-27 00:00:00 |
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| Selected Market Insurance Group, LLC | 85163 | August 28, 2015 | Insurance | Third Party Administrator |
Consent Order as to Respondent Selected Market Insurance Group LLC. |
| Selby-Kirsch Funeral Service, Inc & Kirsch, Michael D. | 73103 | March 21, 2013 | Regulated Industries | Preneed Sales Agent, Preneed Seller |
Order & Consent to Order |
| Seibald, Jack |
Hewlett Harbor NY Allegation: Prior regulatory action Resolution: Summary Order Denying Application for Securities Agent License. Date of Order/Settlement: 2009-02-06 00:00:00 |
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| Sehr, Joseph L. | 78378 | February 6, 2013 | Insurance |
Proposed Decision |
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| Segal, Michael | 58423 |
Chicago IL Allegation: Failure to report administrative actions within 30 days of conclusion of such matters Resolution: Consent signed: Agrees to immediate suspension of license until underlying federal charges are resolved; upon resolution may petition to lift suspension; Cease and Desist any insurance activity in Iowa. Date of Order/Settlement: 2004-02-18 00:00:00 |
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| Seechange Health Insurance Company | April 17, 2015 | Insurance | Insurance Company |
Summary Order of Suspension |
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| Sebbart, Gary A. | 58733 |
Muscatine IA Allegation: Advertising violations Resolution: Consent: Cease and desist from advertising violations; 2 years probations; pay $750 Fine; $250 Costs Date of Order/Settlement: 2003-08-21 00:00:00 |
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| Seawright, Terrence |
Philadelphia PA Allegation: Failure to disclose other states action failure to disclose on license application failure to respond. Resolution: Order: License revoked; $250 fine; make full explanation. Date of Order/Settlement: 2006-02-23 00:00:00 |
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| Scribner, Monica F. | 59298 |
Omaha NE Allegation: Sale of unregistered securites and/or unregistered business opportunities Resolution: Consent signed: 1 yr probation; repayment of commissions and finders fee payments of $3500. Date of Order/Settlement: 2003-02-13 00:00:00 |
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| Scottish Re (U.S.) Inc. | May 16, 2019 | Insurance | Insurance Company |
Summary Order of Suspension |
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| Scott, Machuta |
Mount Pleasant MI Allegation: Not registered as a securities agent in Iowa; Sold investments/promissory notes not registered as securities in Iowa. Resolution: Order: Cease and desist acting as an agent in Iowa without registration; cease and desist the orffer or sale of unregistered and non exempt securities in Iowa. Date of Order/Settlement: 2004-06-10 00:00:00 |
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| Scott A. Newman | 91936 | January 24, 2017 | Insurance | Producer |
Findings of Fact, Conclusions of Law and Order of Suspension, Special Conditions of Licensure and Other Relief |
| Schwieder, Jason | 78765 | May 21, 2013 | Insurance | Producer |
Order for Suspension; Order Reinstating License After Suspension |
| Schuster, Mark K. | 58938 |
Muscatine/Bettendorf IA Allegation: Misappropriation of premiums Resolution: Consent Signed: License revocation; $1000 Fine; Cooperate; Repay premiums to clients and insurance companies $8926.03 Date of Order/Settlement: 2002-08-02 00:00:00 |
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| Schultz, Doug A. | 83495 | June 12, 2014 | Insurance | Producer |
Order for Suspension |
| Schroeder, Melvin | 83453 | June 24, 2014 | Regulated Industries | Preneed Sales Agent |
Order & Consent to Order |
| Schroder, Mark A. | 85208 | February 24, 2015 | Insurance | Producer |
Order Reinstating License After Suspension |
| Schroder, Mark A. | 68752 | September 30, 2010 | Insurance | Producer |
Order for Suspension |
| Schroder, Mark A. | 80745 | November 13, 2013 | Insurance | Producer |
Order Reinstating License After Suspension; Order for Suspension |
| Schoian, John P. | 81547 | November 12, 2013 | Insurance | Producer |
Order for Suspension |
| Schoepske, Dennis L. | 83562 | July 22, 2014 | Insurance | Producer |
Order for Suspension |
| Schmudlach, Wade |
Tripoli IA Allegation: Fiduciary Violation Resolution: Order and Consent to Order License revoked. Date of Order/Settlement: 2007-01-10 00:00:00 |
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| Schmidt, Jeffrey | 77652 | October 12, 2012 | Insurance | Producer |
Order for Suspension |