Enforcement Orders and Actions
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 Sort descending | Enforcement Date | Subject | Entity | Order |
|---|---|---|---|---|---|
| Abbas, Lyle H. et al. v. Wellmark, Inc. | 12IID026 | February 21, 2014 | Insurance | Insurance Company | Proposed Decision |
| Galen Hoodjer | 130451 | December 2, 2019 | Insurance | Producer | Order for Suspension |
| Time Insurance Company | 19IID0002 | June 25, 2019 | Insurance | Insurance Company | Default Order |
| Waters, Jason R. | 50976 | October 17, 2005 | Insurance | Producer | Order and Consent to Order |
| Cosgrove, William C. | 57872 | Campton NH Allegation: Failure to notify IID of other states administrative actions Resolution: Order: License suspended; $250 Fine; $100 Costs; Report other states administrative actions Date of Order/Settlement: 2002-07-12 00:00:00 |
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| Barry, Joseph D. | 57911 | Adel IA Allegation: Unlicensed producer Resolution: Consent signed: Cease and Desist in the sale of insurance; agrees not to reapply for a license Date of Order/Settlement: 2000-09-08 00:00:00 |
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| Cahill, Amy C. | 57983 | Bath PA Allegation: Failure to respond Resolution: Order Signed: License Suspended; $500 Fine; $100 Costs; Respond to Division Date of Order/Settlement: 2000-08-16 00:00:00 |
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| Parker, Jay A. | 57985 | Cicero IL Allegation: Failure to respond to Ins. Div.; Failure to report Administrative Action Resolution: Order: License Suspended; $500 Fine; $100 Costs; provide a complete response and pay fine and costs. Date of Order/Settlement: 2000-11-13 00:00:00 |
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| 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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| Bray, Rebecca A. | 58002 | Orange City IA Allegation: Failure to respond Resolution: Order Signed: License Suspended; $500 Fine; $100 Costs; Respond to Division Date of Order/Settlement: 2000-07-12 00:00:00 |
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| Mauro, Daniel E. | 58007 | Des Moines IA Allegation: Requested an administrative hearing for non-renewal of license. Resolution: Order: Commissioners denial of application for licensure upheld Date of Order/Settlement: 2004-07-21 00:00:00 |
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| Schlitter, Travis P. | 58008 | Davenport IA Allegation: Failure to pay child support Resolution: License Suspended Date of Order/Settlement: 2004-05-12 00:00:00 |
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| Stevens, Mike | 58018 | Eagle Grove IA Allegation: Acting as unregistered securities agent Resolution: Order: Cease and desist acting as a securities agent without registration. Date of Order/Settlement: 2004-04-20 00:00:00 |
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| Bates, David | 58019 | Barnum IA Allegation: Acting as unregistered securities agent Resolution: Order: Cease and desist acting as a securities agent without registration. Date of Order/Settlement: 2004-04-20 00:00:00 |
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| Ahlf, Johnathan C. | 58025 | Muscatine IA Allegation: Application fraud; forgery of customer signatures;fraudulent or dishonest practices. Resolution: Order: License revoked Date of Order/Settlement: 2004-07-27 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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| Kempema, David J. | 58039 | Sioux City IA Allegation: Failed to correct address at the Division; used unapproved marketing material; employed unlicensed employees doing insurance business; violation of 508C.18 in soliciting business. Resolution: Consent: Notify Division within 30 days of address change; use only company approved marketing materials; will not use any unlicensed employees doing insurance transactions;will protect confidential client info; pay $2500 Fine; no reference to 508C.18 Date of Order/Settlement: 2004-08-11 00:00:00 |
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| Anderson, Neil R. | 58045 | Dixon IA Allegation: Using fraudulent or dishonest practices; failure to cooperate in an investiagion by commissioner Resolution: Order signed: License revoked Date of Order/Settlement: 2004-10-06 00:00:00 |
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| Wilhelmson, Steven C. | 58046 | Warr Acres OK Allegation: Providing incorrect information in license application; revocation of license by another state; failure to notify Division of prior actions. Resolution: Order signed: License revoked Date of Order/Settlement: 2004-10-08 00:00:00 |
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| American Equity Investment Life Insurance Company | 58055 | Des Moines IA Allegation: Failure to submit dividend information to Insurance Division prior to declaration and payment to stockholders. Resolution: Consent signed: Agree to list dividends from January 1 2000 to present; report all dividends within 5 business days; pay $1500 fine and $500 Costs Date of Order/Settlement: 2004-09-09 00:00:00 |
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| Chamley Financial LLC | 58058 | Colorado Springs CO Allegation: Sold viatical settlement investment contracts while unregistered Resolution: Cease and desist issued to halt sale of unregistered securities Date of Order/Settlement: 2004-09-20 00:00:00 |
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| Chamley, James | 58060 | Colorado Springs CO Allegation: Sold viatical settlement investment contracts while unregistered Resolution: Cease and Desist issued to halt sale of unregistered securities Date of Order/Settlement: 2004-09-20 00:00:00 |
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| Laurence, Larry D. | 58062 | Pt. Richmond CA Allegation: Failure to report other states actions; failure to timely respond to Divisions inquiry. Resolution: Consent: Pay $200 Fine and $100 Costs; comply with the reporting requirements and fully comply with requests for information from the Division. Date of Order/Settlement: 2004-03-30 00:00:00 |
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| Koch, Edward T. | 58063 | Holy Cross IA Allegation: Failure to pay child support Resolution: License suspended 9/1/04 SUSPENSION WITHDRAWN Date of Order/Settlement: 2004-07-12 00:00:00 |
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| Trawick, Daryl C. | 58064 | Mobile AL Allegation: Failure to report other states actions. Resolution: Consent: Pay $250 fine and $100 costs; agrees to follow all Iowa statutory and administrative requirements and only sell insurance products approved for use by admitted insurance companies. Date of Order/Settlement: 2004-07-12 00:00:00 |
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| Cross, Scott K. | 58065 | Perry IA Allegation: Improper withholding misappropriating or conversion of moneys; failure to cooperate with investigation by commissioner Resolution: Order signed: License revoked Date of Order/Settlement: 2004-10-05 00:00:00 |
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| Darnell, Mary E. | 58071 | Grinnell IA Allegation: Failure to comply with child support order Resolution: License suspended Date of Order/Settlement: 2004-10-28 00:00:00 |
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| Hawkeye Life Insurance Group Inc | 58074 | Des Moines IA Allegation: Failure to file annual financial report Resolution: Consent signed: Annual financial statement for 2003 filed agrees to timely comply with 191 IAC 5.25; pay $2000 Fine and $1000 Costs Date of Order/Settlement: 2005-04-11 00:00:00 |
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| Gless, Richard E. | 58077 | Bettendorf IA Allegation: Advertising violations; unsuitable sales; using unlicensed producers Resolution: Consent signed: Use only company approved marketing materials; demonstrate suitablitity in sales; use licensed producers; 2 yrs probation; pay $750 Fine; Date of Order/Settlement: 2004-11-19 00:00:00 |
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| Gray, Jerome E. | 58078 | Omaha NE Allegation: Unfair methods of competition and unfair or deceptive acts or practices; replacement violations Resolution: Consent Signed: 1 yr probation; Pay $500 Fine and Costs; adhere to all insurance regulations Date of Order/Settlement: 2004-12-06 00:00:00 |
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| Knutson, Randy G. | 58080 | Ankeny IA Allegation: Forgery Resolution: 1 yr probation; $1500 fine; Cease & Desist from signing customers names on insurance documents Date of Order/Settlement: 2004-12-17 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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| Koch, Edward T. | 58084 | Holy Cross IA Allegation: Failure to comply with child support order Resolution: License suspended Date of Order/Settlement: 2005-01-18 00:00:00 |
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| Larpenter, Mike | 58091 | Des Moines IA Allegation: Offered and sold unregistered securities (promisary notes); misrepresented material facts; omitted material facts. Resolution: Cease and desist ordering hald sales and offers to sell securities; misrepresentation and omission of material facts in the offer and selling of securities; Cease and desist acting as agents while unregistered Date of Order/Settlement: 2004-09-17 00:00:00 |
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| Larpenter, Patricia | 58092 | Des Moines IA Allegation: Offered and sold unregistered securities (promisary notes); misrepresented material facts; omitted material facts. Resolution: Cease and desist ordering hald sales and offers to sell securities; misrepresentation and omission of material facts in the offer and selling of securities; cease and desist acting as agents while unregistered Date of Order/Settlement: 2004-09-17 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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| Decambra, Jennifer L. | 58116 | Limestone ME Allegation: Failure to notify Division of prior actions Resolution: Order: License revoked; Pay $500 Fine before licensure is restored Date of Order/Settlement: 2005-03-24 00:00:00 |
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| Dasilva Jr., Walter C. | 58121 | Oklahoma City OK Allegation: Failure to notify Division of prior action. Resolution: Order: License revoked; Pay $500 Fine and $200 Costs before relicensure in Iowa Date of Order/Settlement: 2005-05-04 00:00:00 |
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| Harl, Christopher | 58122 | San Antonio TX Allegation: Failure to notify of criminal action within 30 days Resolution: Consent: Cease and desist; Pay $125 Fine and $125 Costs Date of Order/Settlement: 2005-05-03 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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| 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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| 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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| McKenna, Todd J. | 58125 | West Des Moines Allegation: Failure to notify Division of actions; Failure to cooperate with investigation Resolution: Order signed: License revoked; Pay $500 F and $200 Costs Date of Order/Settlement: 2005-04-18 00:00:00 |
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| Harden, Tony L. | 58126 | Tampa FL Allegation: Failure to notify Division of prior actions Resolution: Order: License revoked; $500 Fine; $200 Costs Date of Order/Settlement: 2005-05-23 00:00:00 |
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| Deel, Stephanie J. | 58128 | Chesapeake VA Allegation: Incorrect information on License application; failure to notify Division of prior actions Resolution: Order: License revoked; $500 Fine; $200 Costs Date of Order/Settlement: 2005-05-23 00:00:00 |
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| Paul Revere Life Insurance Company | 58133 | Chattanooga TN Allegation: Multi State Market Conduct Examination 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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| 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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| Mankamyer, Michele L. | 58137 | Lake Worth FL Allegation: Providing incorrect or incomplete information on license application; failure to notify Division of prior actions Resolution: Order: License revoked; pay $500 fine before license may be restored Date of Order/Settlement: 2005-03-24 00:00:00 |
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| Peters, Jerry L. | 58147 | Kansas City MO Allegation: As an unregistered agent sold an unregistered security a viatical settlement investment contract to an Iowa resident. Resolution: Order: Cease and desist sales of unregistered non-exempt securities. Peter ordered to cease and desist acting as an agent while not registered with the Iowa Securities Bureau. Date of Order/Settlement: 2004-11-22 00:00:00 |