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 |
|---|---|---|---|---|---|
| Reno, Mark |
Des Moines IA Allegation: Misappropriation of money; Dishonesty incompetence untrustworthiness; Failure to notify Division of address change. Resolution: Consent Order signed; License revoked and barred from reapplying for 2 yrs. Date of Order/Settlement: 2007-09-14 00:00:00 |
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| Renee L. Hill | 99825 | February 11, 2019 | Insurance | Producer |
Order and Consent to Order |
| Reliable Life Insurance Company |
Chicago IL Allegation: Discriminatory Sales Practices Resolution: Consent Signed: Initiate compliance; payment of allocated sanction specified for Iowa; Date of Order/Settlement: 2002-07-16 00:00:00 |
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| Reid's Funeral Chapel | 78761 | January 8, 2013 | Regulated Industries | Unlicensed |
Order & Consent to Order |
| Read, William |
Vancouver WA Allegation: Unregistered securities; Unregistered agent; Misrepresentation and Omissions Resolution: Cease and Desist Order issued and monetary penalty assessed. Date of Order/Settlement: 2008-02-15 00:00:00 |
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| RBC Capital Markets, LLC | 80979 | December 5, 2013 | Securities | Broker Dealer |
Administrative Consent Order |
| Raymond, Daniel R. | 58348 |
Kansas City MO Allegation: Failure to report criminal prosecution Resolution: Order Signed: License revoked Date of Order/Settlement: 2000-08-16 00:00:00 |
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| Raymond James & Associates, Inc | 72282 | September 17, 2012 | Securities | Broker Dealer |
Administrative Consent Order |
| Ray Jr., Rayna | 58582 |
San Francisco CA Allegation: Failure to notify of other state's action Resolution: Order; License revoked $250 fine Date of Order/Settlement: 2005-12-22 00:00:00 |
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| Range, Lord Stephen A. | 92643 | December 6, 2016 | Insurance | Producer |
Order for Suspension |
| Range, Lord Stephen A. | 89632 | April 22, 2016 | Insurance | Producer |
Order Reinstating License After Suspension and Order for Suspension |
| Randy Rudolph | 99309 | October 24, 2018 | Insurance | Producer |
Order for Suspension |
| Randy Rudolph | 95133 | January 2, 2018 | Insurance | Producer |
Order Reinstating License After Suspension |
| Ramsden, Mark A. | 83430 | June 24, 2014 | Regulated Industries | Preneed Sales Agent |
Order & Consent to Order |
| Ramsden, Mark A. | 83430 | May 8, 2014 | Regulated Industries | Preneed Sales Agent |
Order of Suspension for Good Cause |
| Rampart Insurance Company | May 20, 2021 | Insurance | Insurance Company |
Order and Consent to Order |
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| Rainey, Leland | 65834 | February 24, 2011 | Insurance | Unlicensed |
Order and Consent to Order |
| Raines, John E. | 59508 |
Fairfield IA Allegation: Marketing and sales violations Resolution: Consent Signed: Cease and desist; 2 yrs probation; assist IID’s investigation; Return 10% of investment to clients Date of Order/Settlement: 2001-04-05 00:00:00 |
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| Rader-Smith, Michelle D. | 86805 | May 5, 2015 | Insurance | Producer |
Order for Suspension |
| R&Q Reinsurance Company | 70099 | April 27, 2011 | Insurance | Insurance Company |
Order and Consent to Order |
| Quast, Steven Jon | 83429 | May 28, 2014 | Regulated Industries | Preneed Sales Agent |
Order & Consent Order |
| Quast, Steven J. | 83429 | May 8, 2014 | Regulated Industries | Preneed Sales Agent |
Order of Suspension for Good Cause |
| Quanaijha Spradley | 104797 | April 16, 2020 | Insurance | Producer |
Order and Consent to Order |
| QBE Holdings, Inc. | 96691 | December 8, 2017 | Insurance | Insurance Company |
Regulatory Settlement Agreement |
| Puget Sound Agricultural Society | 59737 |
Arbuckle CA Allegation: Conducting business of insurance in Iowa without a license; other states actions. Resolution: Order on Default: Order to Cease and Desist issued on 1/22/02 is final; Cease and desist from the offer or sale of and operation of unauthorized insurer; $50000 civil penalty Date of Order/Settlement: 2002-02-20 00:00:00 |
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| Public Service Insurance Company | May 3, 2018 | Insurance | Insurance Company |
Summary Order of Suspension |
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| Provident Life and Casualty Insurance Company | 58135 |
Chattanooga TN Allegation: Multi State Market Conduct Exam for individual and group long term disability income claim handling practices. Resolution: Agreement: Implement changes in corporate governance; implement the Claim Reassessment Process; Provide initial notice to specified claimants; conduct employee training; pay fine to be allocated to participating regulators. Date of Order/Settlement: 2004-11-18 00:00:00 |
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| Provident Life and Accident Insurance Company | 58134 |
Chattanooga TN Allegation: Multi State Market Conduct Exam for individual and group long term disability income claim handling practices. Resolution: Agreement: Implement changes in corporate governance; implement the Claim Reassessment Process; Provide initial notice to specified claimants; conduct employee training; pay fine to be allocated to participating regulators. Date of Order/Settlement: 2004-11-18 00:00:00 |
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| Prosapia Financial LLC; Prosapia Capital Management LLC; Alan Lucas; Robyn Renee Palmer | 68806 | January 28, 2011 | Securities | Unlicensed |
Cease and Desist Order; Proposed Decision |
| ProEquities, Inc | 77065 | November 16, 2012 | Securities | Broker Dealer |
Administrative Consent Order |
| Proactive Indemnity Corp, AKA Proactive Financial Corp., AKA Contingent Cargo Co., Ahmed Badrus Salam, AKA Josh Capello, Umer M. Masood, AKA Josh Capello | 98458 | July 3, 2018 | Insurance | Unlicensed |
Summary Cease and Desist Order |
| Privolos, George T. | 59368 |
Bloomington IL Allegation: Provided incorrect information on license application 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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| Priest, Harry A. | 59336 |
Avoca IA Allegation: Sale of unregistered securities and/or business opportunities Resolution: Consent signed: 1 yr probation; restitution to investors of $8400; sell only approved insurance or securities products. Date of Order/Settlement: 2003-02-10 00:00:00 |
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| Pride National Insurance Company | March 20, 2013 | Insurance | Insurance Company |
Suspension Order |
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| Pribil, John W. | 83575 | August 11, 2014 | Insurance | Producer |
Default Order of Revocation, Cease and Desist and Civil Penalty |
| Preszler, Carol V. | 57986 |
Aberdeen SD Allegation: Failure to respond to Ins. Div.; Failure to report Administrative Action Resolution: Consent Signed: License revocation Date of Order/Settlement: 2000-10-25 00:00:00 |
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| Preneed Sellers and Sale Agents | 94918 | April 30, 2020 | Regulated Industries | Preneed Sales Agent, Preneed Seller |
Second Order Extending Annual Report Deadline and License Expiration |
| Preneed Sellers and Sale Agents | 94918 | March 31, 2020 | Regulated Industries | Preneed Sales Agent, Preneed Seller |
Order Extending Annual Report Filing Deadline and License Expiration |
| Premium Income Corporation | 58124 |
Seattle WA Allegation: Sale of unregistered securities in Iowa; misrepresentations and omissions in the sales of unregistered securities Resolution: Cease and desist order in the sale of unregistered securities by an unregistered agent. Date of Order/Settlement: 2005-03-22 00:00:00 |
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| Prchal, Jeremy |
Omaha NE Allegation: Failure to respond Resolution: License revoked. Date of Order/Settlement: 2006-08-18 00:00:00 |
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| Praul, Allen D. | 58123 |
Bettendorf IA Allegation: Unregistered securities agent; Selling unregistered securities; Misrepresentations and omissions in the sale of securities Resolution: Cease and desist order in the sale of unregistered securities by an unregistered agent Date of Order/Settlement: 2005-03-22 00:00:00 |
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| Praul, Allen D. | 58123 |
Bettendorf IA Allegation: Sale of unregistered securities; omitting material facts/ information; misstatements of material facts; practice to defraud; unregistered as a securities agent; unsuitable sales; exerted undue influence over clients. Resolution: Consent signed: insurance license revoked; permanently barred from reapplying; permanently barred from applying for securities license. Date of Order/Settlement: 2005-06-21 00:00:00 |
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| Porterfield III, Herlen C. | 58037 |
Lansdowne PA Allegation: Providing incorrect information on License Application; conviction of a velony revocation of license in another state; failure to cooperate in investigation by commissioner Resolution: Order: License revoked Date of Order/Settlement: 2004-09-13 00:00:00 |
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| Pontow, Thomas | 82638 | March 14, 2014 | Insurance | Producer |
Order & Consent to Order |
| Polcyn, James |
Ft. Lauderdale FL Allegation: Unlicensed sale of Insurance. Resolution: Cease and Desist order; Civil penalty assessed. Date of Order/Settlement: 2006-12-28 00:00:00 |
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| Poe, Jimmy | 70930 | June 16, 2011 | Insurance | Unlicensed |
Order and Consent to Order |
| PMI Mortgage Insurance Company | November 16, 2011 | Insurance | Insurance Company |
Suspension Order |
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| Pleggenkuhle, Jason E. | 59446 |
Des Moines IA Allegation: Failure to notify of other administrative action Resolution: Consent Signed: Permanent License revocation Date of Order/Settlement: 2001-07-10 00:00:00 |
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| Pipkin, Chris Howard | 58093 |
Cedar Rapids IA Allegation: Unlicensed investment advisor; Filed misleading Form U-4 Application; failure to report outside business activities; misrepresentations; omissions; effective transactions through deceptive means. Resolution: Order and Consent to Order and Agreement: 23 month bar on reapplying for an Iowa securities agent license; agrees to reimburse Division $1000 for costs incurred Date of Order/Settlement: 2005-01-26 00:00:00 |
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| Pingel, Pamela | 77817 | March 26, 2013 | Insurance | Producer |
Proposed Decision |