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 | Order Date | Subject | Entity | Order |
|---|---|---|---|---|---|
| Clark, Deborah |
Quimby IA Allegation: Consumer Complaints Resolution: Order & Consent to Order with a Heightened Supervision Agreement Date of Order/Settlement: 2006-08-18 00:00:00 |
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| NevadaCare d/b/a Iowa Health Solutions Inc |
Las Vegas NV Allegation: Failure or refusal to submit to a peer review; Fail to file or properly complete an application foe renewal of cert of authority; Fail to file or complete a premium tax return Resolution: Order and Consent to Order issued. NevadaCare will voluntarily withdraw its registration and not transact or solicit business in the state for a period of 5 years. Date of Order/Settlement: 2008-10-31 00:00:00 |
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| OConnor Jr., Jerome J. |
Omaha NE Allegation: Forgery; use of fraudulent coercive or dishonest practices Resolution: Order signed: License permanently revoked Date of Order/Settlement: 2004-08-27 00:00:00 |
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| Maxwell, Garlon |
Pleasant Grove UT Allegation: Unregistered investment advisor. Resolution: Consent Order signed and civil penalty assessed. Date of Order/Settlement: 2007-05-29 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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| 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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| Aetna Better Health of Iowa Inc. | December 16, 2016 | Insurance | Insurance Company |
Order and Consent to Order |
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| Vendemia, Joseph |
Poplar Grove IL Allegation: Unlicensed sale of insurance; Accepting insurance from an individual who is not licensed. Resolution: Cease and Desist Order; Civil penaltyassessed. Date of Order/Settlement: 2006-12-28 00:00:00 |
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| Frey, Terry G. |
Cedar Rapids IA Allegation: Violation of unfair trade practices Resolution: Consent signed: Insurance license surrentered and made inactive pending resolution of the statement of charges; shall not sell solicit or negotiate insurance in Iowa until such time if any license is reactivated Date of Order/Settlement: 2003-06-10 00:00:00 |
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| Wilcox, Travis |
Ankeny IA Allegation: Demonstrated incompetence untrustworthiness or financial irresponsibility in the course of conducting business. Resolution: Consent Order issued and monetary penalty assessed. Date of Order/Settlement: 2009-03-09 00:00:00 |
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| 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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| Monumental Life Insurance Company |
Baltimore MD Allegation: Multi-state examination regarding race based premium Resolution: Order signed: Company will make adjustment and shall not make or permit any unfair discrimination; payment to each state participating in agreement proportionately. Date of Order/Settlement: 2003-06-12 00:00:00 |
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| Viking Insurance Company of Wisconsin |
Stevens Point WI Allegation: Violation in claim handling Resolution: Consent Order issued and monetary penalty assessed. Date of Order/Settlement: 2009-03-10 00:00:00 |
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| Bibb, Carl M. |
Elkhorn NE Allegation: Failure to notify Division of other states administrative action within 30 days Resolution: Consent: Cease and desist; pay $250 Fine and $250 Costs Date of Order/Settlement: 2005-07-26 00:00:00 |
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| International Paper |
Memphis TN Allegation: Failed to file an application for renewal for Workers Compensation Self-Insurance program. Resolution: Consent Order signed and monetary penalty assessed. Date of Order/Settlement: 2007-08-18 00:00:00 |
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| Beck, Eric |
Urbandale IA Allegation: Failure to respond to investigation Resolution: Order for Suspension of license Date of Order/Settlement: 2006-04-28 00:00:00 |
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| National Bullion Investors LLC |
New York NY Allegation: unlawful commodity transaction in Iowa Resolution: Consent Order issued. Date of Order/Settlement: 2008-06-19 00:00:00 |
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| Fischer, Barbara Jean (Hatinger) |
Cedar Falls IA Allegation: Sold unregistered securities; acted as an unregistered agent; misrepresented and omitted material facts. Resolution: Consent: Cease and desist the offer or sale of unregistered securities; acting as an agent without registration; making untrue statement of material facts; omitting material facts in the sale of securities assessed $4000 Fine and $100 Costs. Date of Order/Settlement: 2004-07-02 00:00:00 |
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| American Country Insurance Company | February 20, 2020 | Insurance | Insurance Company |
Summary Order of Suspension |
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| Woods, Jerald Lee |
Elizabethtown KY Allegation: Unregistered agent; unregistered securities Resolution: Default Order issued with an assessed monetary penalty. Date of Order/Settlement: 2009-07-09 00:00:00 |
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| LH Ross & Company Inc |
Boca Raton FL Allegation: Failed to respond to Division inquiry/investigation Resolution: Suspended until file a full response; $500 Costs Date of Order/Settlement: 2005-02-26 00:00:00 |
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| Townsend, Patricia |
Morton IL Allegation: Sold policies during the time period that insurance producer license not renewed. Resolution: Order and Consent to Order - Civil penalty and costs imposed. Date of Order/Settlement: 2007-03-08 00:00:00 |
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| MemberSelect Insurance Company |
Dearborn MI Allegation: Summary Order Disapproving premium rate changes. Resolution: Consent Order signed. Date of Order/Settlement: 2007-10-22 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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| Beltramea, Randy L. |
Mt. Vernon IA Allegation: Failure to notify of administrative action Resolution: Order: Insurance License revoked. Date of Order/Settlement: 2005-10-06 00:00:00 |
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| First Sealord Surety, Inc | February 15, 2012 | Insurance | Insurance Company |
Suspension Order |
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| Conoco Phillips Company |
Houston TX Allegation: Failure to provide current loss reserves for Iowa Resolution: Consent Order issued and monetary penalty assessed. Date of Order/Settlement: 2006-08-20 00:00:00 |
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| Church Life Insurance |
New York NY Allegation: Violation of Iowa Unauthorized Insurers Act. Resolution: Consent issued and monetary penalty assessed. Date of Order/Settlement: 2008-11-10 00:00:00 |
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| 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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| Millers First Insurance Company | July 27, 2012 | Insurance | Insurance Company |
Suspension Order |
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| Lincoln Benefit Life Company |
Lincoln NE Allegation: Failure to cooperate in an investigation by the Commissioner. Resolution: Consent Order - Civil penalty and costs imposed and response received for the Divisions inquiries. Date of Order/Settlement: 2007-05-29 00:00:00 |
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| Grismore Jr., David |
Corydon IA Allegation: Manipulated the insurance producer computer system in order to receive numerous policies for himself without paying. Resolution: Consent Order issued and license revoked. Date of Order/Settlement: 2008-03-17 00:00:00 |
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| Goodwin, Roger Duane |
West Des Moines IA Allegation: Advertising violation Sales presentations violations and unlicensed activity. Resolution: Consent signed; Fine $15000; agreement to not engage in business of insurance for 90 days; Quarterly reports and 1 yr probation. Date of Order/Settlement: 2007-01-03 00:00:00 |
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| Farmers Insurance Company |
Allegation: Failed to properly inform the claimant of the status of her claim and to verify whether another insurance carrier was actually responsible for the handling of the claim. Resolution: Order and Consent to Order issued and monetary penalty assessed. Date of Order/Settlement: 2009-03-23 00:00:00 |
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| Century Indemnity Company | August 12, 2015 | Insurance | Insurance Company |
Order and Consent to Order |
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| Brean Murray Carret & Company LLC |
New York NY Allegation: Failure to file audited financial report. Resolution: Broker dealer license is suspended; civil penalty $1000; suspension lifted when compliance is complete. Date of Order/Settlement: 2006-05-26 00:00:00 |
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| Victoria Automobile Insurance Company |
Cleveland OH Allegation: Failure to respond Resolution: Consent Order issued and penalty assessed Date of Order/Settlement: 2008-06-24 00:00:00 |
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| American Service Insurance Company | February 20, 2020 | Insurance | Insurance Company |
Summary Order of Suspension |
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| Triad Guaranty Insurance Corporation | September 6, 2013 | Insurance | Insurance Company |
Suspension Order |
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| McNeal, Jeannie M. |
Cedar Rapids IA Allegation: Child Support Violation Resolution: Order for Suspension issued. Date of Order/Settlement: 2009-07-09 00:00:00 |
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| Parsons, Roger R. |
Tea SD Allegation: Failure to report other states actions to Iowa Insurance Division Resolution: Consent signed: Cease and desist from violation of Iowa Code Chapter 522B; Pay $150 Fine and $100 Costs Date of Order/Settlement: 2005-03-10 00:00:00 |
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| Bankers Life and Casualty Company |
Camel IN Allegation: Market conduct; Misrepresentations and Violation of sales practices. Resolution: Order and Consent to Order - Cease and Desist violations Implement the terms of the MOU Civil penalty of $100000. Date of Order/Settlement: 2007-03-14 00:00:00 |
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| Johnson, Donald E. |
Eldon MO Allegation: Unregistered Securities and agent; misrepresentations and Omissions. Resolution: Cease and Desist Order issued and monetary penalty assessed. Date of Order/Settlement: 2007-10-25 00:00:00 |
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| Turner, Robert C. |
Raleigh NC Allegation: Failure to notify Iowa Ins. Div. of other states administrative actions Resolution: Cease and desist from violations; pay $125 Fine and $125 Costs Date of Order/Settlement: 2005-10-11 00:00:00 |
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| Nelson, Bruce |
Urbandale IA Allegation: Challenges the summary order denying securities agent registration. Resolution: Decision - denial of securities registration upheld. Date of Order/Settlement: 2006-09-08 00:00:00 |
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| Kensington Resources Inc |
Costa Mesa CA Allegation: Unregistered securities Resolution: Cease & Desist Order issued and a monetary penalty assessed. Date of Order/Settlement: 2008-11-20 00:00:00 |
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| Pace, Edwin |
Indianola IA Allegation: Offered and sold unregistered securities; omission of material facts; no securities license incompetence and untrustworthiness; violations of the Iowa Consumer Fraud Act. Resolution: Order: License revoked; not eligible for licensure until obligations imposed by the Iowa District Court are fully satisfied. Date of Order/Settlement: 2004-09-08 00:00:00 |
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| Weisberg, Max |
Scottsdale AZ Allegation: Failure to notify Division of prior action Resolution: Consent Signed: Cease and desist from violations; pay $150 Fine $100 Costs Date of Order/Settlement: 2005-05-12 00:00:00 |
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| Davis, Carl |
West Des Moines IA Allegation: Advertising Violations Resolution: Order and Consent to Order - placed on probation for a period of six months; Civil penalty and costs imposed. Date of Order/Settlement: 2007-05-29 00:00:00 |
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| McFall, Daniel J. |
West Des Moines IA Allegation: Criminal History Resolution: Order and Consent to Order monetary penalty assessed. Date of Order/Settlement: 2008-03-18 00:00:00 |