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 |
|---|---|---|---|---|---|
| Rolle, Robin | 68942 | March 15, 2011 | Insurance | Producer |
Suspension Order |
| Roi, Louis |
Naperville IL Allegation: Surplus Violations. Resolution: Consent Order signed and civil penalty assessed. Date of Order/Settlement: 2007-05-10 00:00:00 |
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| Rohde, Mark F. | 89342 | September 30, 2016 | Insurance |
Order Placing Decision Under Seal |
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| Roger Duane Goodwin | 96500 | October 4, 2018 | Insurance | Producer |
Order and Consent to Order |
| Roe, Elizabeth A. | 86567 | June 7, 2016 | Insurance | Unlicensed |
Order and Consent to Order |
| Rodriguez, Daniel | 84487 | September 25, 2014 | Insurance | Producer |
Order & Consent to Order |
| Rodriguez, Anabel | 83463 | September 9, 2014 | Regulated Industries | Preneed Sales Agent |
Order & Consent Order |
| Roche, Michael J. | 58728 |
Madison WI Allegation: License application disclosures Resolution: Consent signed: Pay $500 fine Date of Order/Settlement: 2003-07-03 00:00:00 |
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| Robins, Jeananne |
Clemmons IA Allegation: Child support violation. Resolution: Order for Suspension issued. Date of Order/Settlement: 2009-01-05 00:00:00 |
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| Robey, Elmer E. | 59318 |
Dubuque IA Allegation: Accepting insurance business from unlicensed persons Resolution: Consent signed: Iowa Insurance license suspended for six months; Pay $500 Fine and $250 Costs before suspension is lifted. Date of Order/Settlement: 2003-06-30 00:00:00 |
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| Robertson, Bruce | 78655 | June 27, 2013 | Insurance | Producer |
Order for Suspension; Order Reinstating License After Suspension |
| Roberts, Sherie M. | 91308 | August 15, 2016 | Insurance | Producer |
Order for Suspension |
| Roberts, James | 78986 | May 20, 2013 | Insurance | Producer |
Order of Summary of Suspension and Notice of Opportunity for Hearing |
| Roberts, James | 78986 | December 23, 2013 | Securities, Insurance | Investment Adviser Representative, Producer, Securities Agent |
Order & Consent to Order |
| Roberts, James | 78986 | April 12, 2013 | Securities | Securities Agent |
Cease & Desist Order |
| Robert Payne | 96970 | January 16, 2018 | Insurance | Producer |
Emergency Order to Cease and Desist |
| Robert Payne | 96970 | March 1, 2018 | Insurance | Producer |
Consent Order |
| Robert McClintock | 104342 | February 18, 2020 | Insurance | Producer |
Order for Suspension |
| Robert L. and Michelle R. Dugger Funeral Homes LLC | 83336 | May 5, 2014 | Regulated Industries | Preneed Sales Agent, Preneed Seller |
Order of Suspension for Good Cause as to Sales Agent |
| Robert L. and Michelle R. Dugger Funeral Homes LLC | 83336 | May 5, 2014 | Regulated Industries | Preneed Sales Agent, Preneed Seller |
Order of Suspension for Good Cause as to Seller |
| Robert L. and Michelle R. Dugger Funeral Homes LLC | 83336 | May 28, 2014 | Regulated Industries | Preneed Sales Agent, Preneed Seller |
Order & Consent to Order |
| Robbins, Crysty | 82112 | February 26, 2014 | Insurance | Producer |
Order for Suspension |
| RiverSource Life Insurance Company | 93566 | February 15, 2017 | Insurance | Insurance Company |
Regulatory Settlement Agreement |
| Riverside Cemetery | August 5, 2014 | Regulated Industries | Other |
Consent Order and Notice of Right to Hearing |
|
| Ritland, Karl Paul |
Des Moines IA Allegation: Unauthorized trades and use of discretionary power Resolution: Consent: Securities license censured; 1 year probation; Pay $250 Fine and $250 Costs Date of Order/Settlement: 2004-09-01 00:00:00 |
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| Ripka, Linda | 58807 |
Warsaw MN Allegation: Unregistered securities Unregistered agent Ommissions and Misrepresentations. Resolution: Order and Consent to Order. Civil penalty imposed in Cease & Desist is vacated. Date of Order/Settlement: 2006-12-18 00:00:00 |
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| Riley, Logan | 76150 | May 4, 2012 | Insurance | Producer |
Order for Suspension |
| Riley, Derrick L. | 58469 |
Waterloo IA Allegation: Criminal convictions Resolution: Consent signed: 1 year probation from date license issued; Agrees to report any administration action within 30 days of final disposition; Agrees to report any criminal prosecution within 30 days of initial pretrial conference; Submit quarterly reports. Date of Order/Settlement: 2004-02-18 00:00:00 |
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| Riley, Dennis E. |
Cedar Falls IA Allegation: False statements and entries misrepresentation by producer on insurance application; omission of producers name on application; dishonesty. Resolution: Consent signed: Cease and desist violation; license suspended for 30 days; after suspension 2 year probation; complete CE ethics class; send copies of any complaints to Division within 30 days of receipt; pay $13000 fine and costs. Date of Order/Settlement: 2004-12-09 00:00:00 |
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| Riley, Carla | 77958 | November 20, 2012 | Insurance | Producer |
Order for Suspension |
| Riggall, John | 59575 |
Centerville IA Allegation: Selling products not issued by a licensed insurance company Resolution: Consent Signed: Cease and desist; 2 yr probation; supervision; pay monetary amount of $12000 Date of Order/Settlement: 2002-03-25 00:00:00 |
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| Ricky Joe Halvorsen | 97720 | June 6, 2018 | Insurance | Producer |
Order and Consent to Order |
| Richie Logsdon | 77659 | January 31, 2020 | Insurance | Producer |
Order for Reissuance After License Suspension and Expiration |
| Richele Jacob | 101092 | June 13, 2019 | Insurance | Producer |
Order for Suspension |
| Richardson, Tom | 80333 | December 30, 2013 | Insurance | Producer |
Order & Consent Order |
| Richardson, Terry C. | 58425 |
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: permanently barred from reapplying for insurance producer license; pay $3000 Costs; cooperate in investigation; Date of Order/Settlement: 2006-02-23 00:00:00 |
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| Richard S. Martin | 96531 | April 3, 2018 | Insurance | Producer |
Order Reinstating License After Suspension |
| Richard S. Martin | 96531 | January 31, 2018 | Insurance | Producer |
Order for Suspension |
| Richard L. Powell | 105842 | June 4, 2020 | Insurance | Producer |
Order for Suspension |
| Ribbens, Nathan T. | 94065 | July 25, 2017 | Insurance | Producer |
Order Reinstating License After Suspension and Order for Suspension |
| Rhynsburger, Ronald J. | 59341 |
Sioux City IA Allegation: Failure to cooperate Resolution: Order: License suspended until response received; Pay $500 Fine. Date of Order/Settlement: 2003-03-20 00:00:00 |
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| Rhone, Robert M. | 59594 |
Mingo IA Allegation: Failure to submit premiums to ins. co.. Resolution: Consent Signed: License suspended: pay $800 Fine; $200 Costs; Maintain separate premium trust account. Date of Order/Settlement: 2002-05-09 00:00:00 |
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| Rhonda McGarry | 102338 | September 13, 2019 | Insurance | Producer |
Order for Suspension |
| Rhoades, David | 80033 | November 25, 2014 | Insurance | Producer |
Order Reinstating License After Suspension and Suspension Order |
| Reynolds, Archie Paul |
Simpsonville SC Allegation: Acting as an unregistered securities agent; Sale of unregistered security. Resolution: Cease and Desist Order issued. Date of Order/Settlement: 2007-03-15 00:00:00 |
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| Reynaldo Castillo | 74155 | July 6, 2021 | Insurance | Producer |
Order Reissuing License After Revocation |
| Reyes, Bryan | 70932 | April 14, 2011 | Insurance | Producer |
Order of Summary Suspension and Notice of Opportunity for Hearing |
| Revland, Markis K. | 59062 |
Arnolds Park IA Allegation: Failure to notify Iowa Ins. Division of other states prior actions Resolution: Order: Iowa Insurance license permanently revoked; Pay $5000 Fine; $500 Costs. Date of Order/Settlement: 2004-03-11 00:00:00 |
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| Revland, Markis K. | 59314 |
Arnolds Park IA Allegation: Sale of unregistered securities and/or business opportunities Resolution: Consent signed: 2 yr probation; repay all commissions and/or finders fees of $19460; repay investors a prorata portion; pay $1000 administrative penalty; sell only approved insurance products. Date of Order/Settlement: 2003-04-02 00:00:00 |
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| Revland, Markis K. | 59314 |
Arnolds Park IA Allegation: Failure to comply with previous order and failure to respond to Division inquiry Resolution: License suspended Date of Order/Settlement: 2004-01-07 00:00:00 |