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

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

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

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

Seechange Health Insurance Company April 17, 2015 Insurance Insurance Company

Summary Order of Suspension

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

Aetna Better Health of Iowa Inc. December 16, 2016 Insurance Insurance Company

Order and Consent to Order

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

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

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

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

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

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

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

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

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

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

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

American Country Insurance Company February 20, 2020 Insurance Insurance Company

Summary Order of Suspension

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

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

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

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

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

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

First Sealord Surety, Inc February 15, 2012 Insurance Insurance Company

Suspension Order

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

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

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

Millers First Insurance Company July 27, 2012 Insurance Insurance Company

Suspension Order

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

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

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

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

Century Indemnity Company August 12, 2015 Insurance Insurance Company

Order and Consent to Order

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

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

American Service Insurance Company February 20, 2020 Insurance Insurance Company

Summary Order of Suspension

Triad Guaranty Insurance Corporation September 6, 2013 Insurance Insurance Company

Suspension Order

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

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

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

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

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

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

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

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

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

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

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