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 |
|---|---|---|---|---|---|
| Western Insurance Company | October 7, 2011 | Insurance | Insurance Company |
Suspension Order |
|
| Welte, Douglas E. | 78144 | October 8, 2012 | Insurance | Producer |
Order & Consent to Order |
| Welding, Carla L. | 93611 | April 18, 2017 | Insurance | Producer |
Order for Suspension |
| 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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| 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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| Weber, Wayne | 94778 | November 15, 2017 | Insurance | Producer |
Order for Suspension |
| 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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| Weaver, Andy | 74140 | June 4, 2012 | Insurance | Producer |
Order for Suspension |
| Waters, Jason R. | 50976 | October 17, 2005 | Insurance | Producer |
Order and Consent to Order |
| Waterloo Memorial Park Cemetery | 80382 | May 14, 2013 | Regulated Industries | Other |
Voluntary Settlement and Consent Order |
| Waterloo Memorial Park Cemetary | 83329 | May 2, 2014 | Regulated Industries | Other |
Order to Cease and Desist and Consent to Order |
| Waterloo Elmwood Cemetery Association | 88189 | September 22, 2015 | Regulated Industries | Unlicensed |
Order & Consent to Order |
| Washington National Insurance Company |
Carmel IN Allegation: Failure to appoint insurance producers in Iowa Resolution: Consent: Cease and desist failing to appoint producers; pay $4200 Fine and $1000 Costs Date of Order/Settlement: 2005-07-26 00:00:00 |
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| Walter Link | 102678 | September 26, 2019 | Insurance | Producer |
Order for Suspension |
| Walter Link | 102678 | October 2, 2019 | Insurance | Producer |
Order Reinstating License After Suspension |
| Walter A. Starkey | 92965 | March 12, 2019 | Insurance | Producer |
Order Reinstating License After Suspension |
| Walker, Samuel W. |
Waterloo IA Allegation: Failure to disclose prior criminal convictions on license application Resolution: Order signed: License revoked Date of Order/Settlement: 2004-08-24 00:00:00 |
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| Walker, Charles R. | 84207 | August 11, 2014 | Insurance | Producer |
Order for Suspension |
| Wagemann, Andrew | 91354 | August 18, 2016 | Insurance | Producer |
Order for Suspension |
| Waddell & Reed Inc |
Overland Park KS Allegation: Waddell a broker dealer sought to exchange their customers United Investors Life Ins. Co. variable annuities to Nationwide variable annuities. The BB and agents received a new commission on each exchange but many customers paid surrender charges. Resolution: Order and Consent to Order. Waddell & Reed censured $79000 to compensate Iowa customers $29000 civil penalty to the Division and several undertakings. Date of Order/Settlement: 2005-08-10 00:00:00 |
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| Wachovia Capital Markets LLC |
Charlotte NC Allegation: Conflicts of interest between investment banking and equity research department failure to supervise its research analysts failed to maintain and produce in a timely manner certain books and records. Resolution: Without admitting or denying findings of fact and conclusions of law Wachovia agreed to cease and desist failing to supervise and agreed to pay a civil penalty of $246500. Date of Order/Settlement: 2006-08-15 00:00:00 |
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| Vugteveen, Larry | 78598 | January 28, 2013 | Insurance | Producer |
Order for Suspension |
| Voyager Financial Group, LLC | 80240 | June 4, 2013 | Securities | Unlicensed |
Cease & Desist Order |
| Voyager Financial Group, LLC | 80240 | September 20, 2013 | Securities | Unlicensed |
Order and Consent to Order and Agreement |
| Voss, Diana L. | 94287 | July 7, 2017 | Insurance | Producer |
Order for Suspension |
| Volts, Michael R. | 84452 | November 12, 2014 | Insurance | Producer |
Default Order of Revocation, Cease & Desist and Civil Penalty |
| 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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| 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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| Victor C. Washington | 105532 | June 1, 2020 | Insurance | Producer |
Order and Consent to Order |
| Vershaw, Todd C. | 95687 | November 20, 2017 | Insurance | Producer |
Order and Consent to Order |
| Vendonn Simmons Jr. | 104391 | February 7, 2020 | Insurance | Producer |
Order for Suspension |
| Vendonn Simmons | 104391 | April 14, 2020 | Insurance | Producer |
Order Reinstating License After Suspension |
| Vendonn L. Simmons Jr. | 108693 | March 22, 2021 | Insurance | Producer |
Order for Suspension |
| 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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| Veenstra, Douglas |
Tracy IA Allegation: Appointment termination. Resolution: Consent Order issued; heightened supervision and probation for 1 year and a monetary penalty assessed. Date of Order/Settlement: 2008-05-02 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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| Vaudt, Brady J. | 82623 | January 23, 2015 | Insurance | Producer |
Order Reinstating License After Suspension and Order for Suspension |
| Vander Wilt, Arthur J. | 59582 |
Hospers IA Allegation: Selling unauthorized insurance products Resolution: Consent Signed: Cease and Desist from selling unauthorized ins. Products; Pay all outstanding health claims after final resolution of US Dept of Labor action against Employers Mutual L.L.C. Date of Order/Settlement: 2002-03-14 00:00:00 |
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| Van Rensburg, Gideon Janse | 85649 | December 31, 2014 | Insurance | Producer |
Order for Suspension |
| Van Hook, Martisa J. | 92549 | November 21, 2016 | Insurance | Producer |
Order for Suspension |
| Valiaku Kargbo | 98736 | August 17, 2018 | Insurance | Producer |
Order for Suspension |
| Valenti, Anthony | 81849 | February 25, 2014 | Insurance | Producer |
Default Order of Revocation, Cease and Desist and Civil Penalty |
| UVEST Financial Services Group, Inc | 77063 | January 11, 2013 | Securities | Broker Dealer |
Administrative Consent Order |
| USI of Georgia Inc |
Norfolk VA Allegation: Did not remit surplus lines taxes; no Iowa licensed producer; Resolution: Consent signed: Cease and desist conducting business until employee licensed in Iowa; pay $4500 Fine; and $500 Costs. Date of Order/Settlement: 2004-08-23 00:00:00 |
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| Urista, Jason C. |
Columbia Heights MN Allegation: Failure to disclose prior criminal history Resolution: Order: Revocation of Iowa Insurance License Date of Order/Settlement: 2004-03-15 00:00:00 |
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| UNUM Life Insurance Company of America | 58083 |
Portland ME 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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| United States Fire Insurance Company | 72225 | August 19, 2011 | Insurance | Insurance Company |
Order and Consent to Order |
| United States Fire Insurance Company | 97248 | February 7, 2018 | Insurance | Insurance Company |
Regulatory Settlement Agreement |
| United Fire & Casualty Company |
Cedar Rapids IA Allegation: Failure to report dividends Resolution: Consent: Report dividends as directed; submit schedule; pay $1000 fine; $500 Costs Date of Order/Settlement: 2006-02-17 00:00:00 |
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| United American Insurance Company | 59599 |
McKinney TX Allegation: Market Conduct Exam Resolution: Consent Signed: Implement procedures; $5000 Fine Date of Order/Settlement: 2002-05-28 00:00:00 |