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 |
|---|---|---|---|---|---|
| Welander, LuJean |
Mason City IA Allegation: Provided incorrect information on her application for an Iowa Preneed Sales Agent License and on her application for an Iowa Insurance Producer License. Resolution: Consent Order issued and was ordered to accurately answer all questions on applications and was granted a license to be a Preneed Sales Agent and an Iowa Insurance Producer. Date of Order/Settlement: 2008-05-12 00:00:00 |
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| Pekin Insurance Company |
Pekin IL Allegation: Allowed business from agent not properly licensed. Resolution: Order: Pay $3500 Fine; Pay $1500 Costs; contact policyholders; resolve any unmet policyholder needs with costs assess to the agents/agency with report to Division on resolutions with policyholders. Date of Order/Settlement: 2004-06-22 00:00:00 |
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| Davis, Shana M. |
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: pay $3000 Costs; cooperate in investigation; Date of Order/Settlement: 2006-02-23 00:00:00 |
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| Pierce, Judith |
Independence IA Allegation: Used funds to pay herself and certain persons funds to which they were not entitled and failed to follow a direct Order of the Commissioner. Resolution: Consent Order issued and Producer License surrendered. Date of Order/Settlement: 2009-05-29 00:00:00 |
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| Extraordinary Films aka Extraordinary Media Group Ltd | April 27, 2004 | Securities | Unlicensed |
San Diego CA Beverly Hills CA Chula Vista CA Allegation: Selling unregistered securities Resolution: Order: Cease and desist the offer or sale of unregistered securities Date of Order/Settlement: 2004-04-27
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| Messmore, Gregory |
Mason City IA Allegation: Unsuitable sale and violation of insurance and securities license. Resolution: Order & Consent to Order- Insurance and Securities License is suspended for a period of no less than five years. Date of Order/Settlement: 2007-02-22 00:00:00 |
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| AXA Insurance Company | July 17, 2019 | Insurance | Insurance Company |
Order and Consent to Order |
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| Straw, Jack |
Cedar Rapids IA Allegation: Unlicensed SEC. Misrepresentation; misappropriation of funds. Resolution: Order of Summary Revocation and Order to Cease and Desist. Date of Order/Settlement: 2007-09-28 00:00:00 |
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| Penn Treaty Network America Insurance Company | June 3, 2011 | Insurance | Insurance Company |
Suspension Order |
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| Rampart Insurance Company | May 20, 2021 | Insurance | Insurance Company |
Order and Consent to Order |
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| Mize, Lisa |
Summersville WV Allegation: Failure to respond. Resolution: Order - License revoked. Date of Order/Settlement: 2006-08-18 00:00:00 |
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| Conroy, John |
East Norwich NY Allegation: Prior regulatory action taken. Resolution: Summary Order Denying Application for Securities Agent License. Date of Order/Settlement: 2008-09-12 00:00:00 |
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| Kemper, Daniel |
Hallsville MO Allegation: Misleading sales presentations; Misrepresenting the terms of a contract; demonstrating incompetence in the conduct of business; Failing to cooperate with an investigation. Resolution: Default decision issued and license revoked. Date of Order/Settlement: 2009-09-29 00:00:00 |
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| Lumbermans Mutual Casualty Company | July 9, 2012 | Insurance | Insurance Company |
Suspension Order |
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| 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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| Certificate of Authority of Millers Classified Insurance Company | June 12, 2015 | Insurance | Insurance Company |
Summary Order of Suspension |
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| Martin, Richard D. |
Omaha NE Allegation: Denial of Securities license. Resolution: Consent signed and securities license issued with 2 year heightened supervision. Date of Order/Settlement: 2008-01-29 00:00:00 |
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| Amerivision Communications Inc |
Oklahoma City OK Allegation: Sale of unregistered securities Resolution: Cease and Desist the offer or sale of unregistered securities and non-exempt securities Date of Order/Settlement: 2004-05-03 00:00:00 |
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| Bonnell, Peter |
Medina OH Allegation: Advertising Violation. Resolution: Order and Conset to order signed; Civil Penalty assessed. Date of Order/Settlement: 2006-12-18 00:00:00 |
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| Cillo, Mark |
Saint Louis MO Allegation: Violated Iowa Insurance Trade Practices Act Resolution: Summary Cease and Desist Order. Date of Order/Settlement: 2009-02-10 00:00:00 |
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| Capson Physicians Insurance Company | May 16, 2019 | Insurance | Insurance Company |
Summary Order of Suspension |
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| First Continental Life & Accident Insurance Co. |
Sugar Land TX Allegation: Failed to maintain compliance with capital and surplus requirements. Resolution: Consent Order - authority to do business in Iowa is suspended. Date of Order/Settlement: 2007-07-31 00:00:00 |
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| Davis, William J. |
Spirit Lake IA Allegation: Child Support Violation Resolution: Order for Suspension issued. Date of Order/Settlement: 2008-05-16 00:00:00 |
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| Hartsock, Jason A. |
Iowa City IA Allegation: Failure to disclose any prior criminal history Resolution: Order: Iowa Insurance license revoked. Date of Order/Settlement: 2004-06-24 00:00:00 |
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| Knall, David Wells |
Indianapolis IN Allegation: Summary Order Denying Application for Securities Agent License Resolution: Order Vacating Denial of Securities Agent License Date of Order/Settlement: 2009-06-15 00:00:00 |
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| Larson, Pamela |
Clear Lake IA Allegation: Issued fraudulent insurance cards issued retroactive coverage and committed fraud. Resolution: Order & Consent to Order - 60 day suspension civil penalty and costs assessed. Date of Order/Settlement: 2007-02-23 00:00:00 |
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| Standard Life Insurance Company of Indiana | October 22, 2012 | Insurance | Insurance Company |
Suspension Order |
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| Future Stars Sports Inc |
Green City MO Allegation: Unregistered agent Unregistered securities misrepresentations omissions. Resolution: Cease & Desist Order issued and a monetary penalty assessed. Date of Order/Settlement: 2007-10-12 00:00:00 |
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| Dedicated Resources Inc |
Miami FL Allegation: Not a registered broker/dealer agents; sale of unregistered securities (viaticals) Resolution: Consent signed: Cease and desist the offer or sale of unregistered securities (viatical settlement) investment contracts to persons residing in Iowa. Date of Order/Settlement: 2005-09-10 00:00:00 |
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| Webb, Nathaniel |
Van Nuys CA Allegation: Failure to respond. Resolution: Order - License revoked. Date of Order/Settlement: 2006-08-18 00:00:00 |
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| Vedovino, John |
Pompton Plains NJ Allegation: Violation of NYSE rules Resolution: Consent Order issued and suspension of securities license that shall run concurrent to the NYSE suspension. Date of Order/Settlement: 2008-09-25 00:00:00 |
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| Sovia, Shannon |
Atlantic IA Allegation: Failure to pay state debt. Resolution: Order for Suspension issued. Date of Order/Settlement: 2009-10-05 00:00:00 |
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| Comeau, Perry |
Oelwein IA Allegation: Unregistered investment advisor and representative. Resolution: Consent Order signed and civil penalty assessed. Date of Order/Settlement: 2007-05-21 00:00:00 |
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| American Family Life Insurance Company |
Madison WI Allegation: Failure to Respond Resolution: Consent Order issued and a monetary penalty assessed. Date of Order/Settlement: 2008-02-13 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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| Black, Derek |
Osage Beach MO Allegation: Violated Iowa Insurance Trade Practices Act Resolution: Summary Cease & Desist Order Date of Order/Settlement: 2009-03-03 00:00:00 |
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| Edward D. Jones & Company LP |
St. Louis MO Allegation: Failed to reasonably supervise securities agent Resolution: Cease and desist filing to supervise; Pay $9500 Fine and Costs Date of Order/Settlement: 2004-10-07 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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| Ryder System, Inc., Ryder Truck Rental | October 24, 2017 | Insurance |
Order and Consent to Order |
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| MemberSelect Insurance Company |
Dearborn MI Allegation: MemberSelect was making rate revisions charged for its Iowa Homeowners program. Resolution: Summary Order Disapproving premium rate changes. Date of Order/Settlement: 2007-08-07 00:00:00 |
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| Young, John D. |
Grand Rapids MI Allegation: Failure to notify Division of administrative action taken against him in another jurisdiction; Failure to respond to Division inquiry. Resolution: Deafult Decision issued revoking insurance producer license. Date of Order/Settlement: 2008-05-20 00:00:00 |
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| Dodd, Larenzo |
Cedar Rapids IA Allegation: Failure to disclose all criminal convictions on application Resolution: Order: Denial of application for an linsurance license is upheld. Date of Order/Settlement: 2004-06-24 00:00:00 |
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| Flowers, Larry W. |
Gainsville GA Allegation: Failure to notify Division of prior actions; Failure to cooperate with investigation. Resolution: License revoked. Date of Order/Settlement: 2006-03-22 00:00:00 |
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| Alliant Energy | November 20, 2018 | Insurance |
Order and Consent to Order |
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| Hammes, Kristina |
North Liberty IA Allegation: Failure to pay child support Resolution: Order for Suspension issued. Date of Order/Settlement: 2009-06-18 00:00:00 |
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| Bessine, Dustin |
Burlington IA Allegation: Failure to comply with Other State Agency - DHS; Non-compliance w/order of Child Support Resolution: License is suspended Date of Order/Settlement: 2007-03-05 00:00:00 |
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| McLaughlin, Mark |
Green City MO Allegation: Unregistered agent Unregistered securities misrepresentations omissions. Resolution: Cease & Desist Order issued and a monetary penalty assessed. Date of Order/Settlement: 2007-10-12 00:00:00 |
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| Northrop, Kenneth |
Floyd IA Allegation: Named as a beneficiary on a policy of an unrelated policyholder Resolution: Consent: Cease and desist violation; 1 year probation; repay to the estate the amount received Date of Order/Settlement: 2005-09-12 00:00:00 |
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| Bertsch, Kristoffer |
Wilmington DE Allegation: Failure to respond. Resolution: Order - License revoked. Date of Order/Settlement: 2006-08-18 00:00:00 |
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| Svoboda, Steven |
Washington IA Allegation: Accepted money from clients that was intended for investment or savings purposes and converted those client funds for personal use. Resolution: Order of Summary Revocation Date of Order/Settlement: 2008-09-26 00:00:00 |