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.
Click to subscribe for an email update when new orders are added to this page.
Name | Case Number | Order Date | Subject | Entity | Order |
---|---|---|---|---|---|
Credit Suisse First Boston LLC | 59096 |
New York NY Allegation: Failure to supervise; Conflicts of interest between banking and analyst functions Resolution: Consent Order: without admitting or denying allegations to Cease and Desist; Pay $750000 Fine Date of Order/Settlement: 2004-03-30 00:00:00 |
|||
Lund, William J. | 59170 |
Norwalk OH Allegation: Selling unlicensed crop insurance programs Resolution: Consent Signed: Cease & Desist; Use approved marketing material; $500 Costs Date of Order/Settlement: 2002-07-18 00:00:00 |
|||
Kolbe, Joseph R. | 59227 |
Bradenton FL Allegation: Unsuitable Sales & Twisting Resolution: Consent signed: 2 yrs probation; $2500 Fine; $750 Costs Date of Order/Settlement: 2001-02-28 00:00:00 |
|||
Lavin, Larry | 59293 |
Milford IA Allegation: Failure to respond to Division inquiries Resolution: Consent Signed: 1 yr probation; certify compliance with insurance laws and regulations; Cease and Desist; Costs: $1000 Date of Order/Settlement: 2001-04-30 00:00:00 |
|||
Barth, Douglas N. | 59294 |
Independence IA Allegation: Misappropriation of premiums Resolution: Order signed: License permanently revoked Date of Order/Settlement: 2001-05-01 00:00:00 |
|||
Hrdlicka, Raymond W. | 59295 |
Fremont CA Allegation: Failure to notify of other state's action Resolution: Consent Signed: License revoked for 10 years; $200 Fine; $100 Costs Date of Order/Settlement: 2001-07-10 00:00:00 |
|||
Scribner, Monica F. | 59298 |
Omaha NE Allegation: Sale of unregistered securites and/or unregistered business opportunities Resolution: Consent signed: 1 yr probation; repayment of commissions and finders fee payments of $3500. Date of Order/Settlement: 2003-02-13 00:00:00 |
|||
Christensen, Daniel J. | 59300 |
Dubuque IA Allegation: Failure to cooperate in an investigation Resolution: Order: Insurance License suspended; $500 Fine; $100 Costs; respond to Division inquiry Date of Order/Settlement: 2003-05-22 00:00:00 |
|||
Moeller, Gregory M. | 59301 |
Mount Pleasant IA Allegation: Sale of unregistered securities and/or business opportunities Resolution: Consent signed: 1 yr. probation; repay all commissions of $1400;sell only approved products. Date of Order/Settlement: 2003-03-12 00:00:00 |
|||
Lippold, Robert J. | 59302 |
Des Moines IA Allegation: Sale of unregistered securities and/or unregistered business opportunities Resolution: Consent Signed: 1 yr probation; Pay $3500 civil penalty to IID; sell only approved products. Date of Order/Settlement: 2003-03-17 00:00:00 |
|||
McGinnis, Douglas D. | 59303 |
Shenandoah IA Allegation: Sale of unregistered securities and/or business opportunities Resolution: Consent signed: 1 yr probation; repay all commissions and/or finders fees $9000; sell only approved insurance products. Date of Order/Settlement: 2003-03-17 00:00:00 |
|||
Daugherty, Sandra J. | 59304 |
Madrid IA Allegation: Criminal complaints Resolution: Consent signed: License revoked permanently Date of Order/Settlement: 2003-03-03 00:00:00 |
|||
Baxter, Raymond E. | 59305 |
Ft. Madison IA Allegation: Sale of unregistered securities and/or unregistered business opportunities Resolution: Consent signed: 1 yr probation; repayment of commissions and finders fee payments $2695. Date of Order/Settlement: 2003-02-10 00:00:00 |
|||
Buchholz, Barry L. | 59306 |
Cedar Rapids IA Allegation: Replacement violations Resolution: Consent signed: Cease and desist violating replacement laws and regulations: pay $2000 Civil Penalty; $500 Costs Date of Order/Settlement: 2003-03-11 00:00:00 |
|||
Ohio National Life Insurance Company | 59307 |
Cincinnati OH Allegation: Replacement violations Resolution: Consent Signed: Pay civil Penalty of $15000; Pay $2200 Costs; Submit to Division $21054 in commissions earned by agent; compliance with insurance regulations laws regarding replacement. Date of Order/Settlement: 2003-04-04 00:00:00 |
|||
Johnson, Willard G. | 59309 |
Geneseo IL Allegation: Sale of unregistered securities and/or business opportunities Resolution: Consent Signed: Voluntary surrender of Iowa Insurance license; repay commissions of $11200 before eligible for relicensing in Iowa; Cease and Desist insurance business or securities business in IA Date of Order/Settlement: 2003-03-27 00:00:00 |
|||
Freese, Jason C. | 59310 |
Altoona IA Allegation: Intentional misrepresentation of proposed insurance contract; using faudulent coercive or dishonest business practices; failure to cooperate. Resolution: Consent signed: 2 Year supervised probation; May not sell solicit or negotiate contracts during probationary period; submit quarterly reports; subject to reviews; Cooperate with Divisions investigations; pay $1600 Costs Date of Order/Settlement: 2003-07-30 00:00:00 |
|||
McCain, Larry D. | 59311 |
Sioux City IA Allegation: Failure to cooperate Resolution: Consent signed: 2 yrs probation; cooperate with Divisions investigation into complaints; Pay $2500 Costs. Date of Order/Settlement: 2003-03-27 00:00:00 |
|||
Lavin, Larry B. | 59313 |
Milford IA Allegation: Sale of unregistered securities and/or unregistered business opportunities Resolution: Consent signed: 1 yr; probation; Repay commissions and/or finders fees; Restitution on pro-rata basis to Iowa investors of $18480; sell only approved products or investments. Date of Order/Settlement: 2003-03-31 00:00:00 |
|||
Revland, Markis K. | 59314 |
Arnolds Park IA Allegation: Sale of unregistered securities and/or business opportunities Resolution: Consent signed: 2 yr probation; repay all commissions and/or finders fees of $19460; repay investors a prorata portion; pay $1000 administrative penalty; sell only approved insurance products. Date of Order/Settlement: 2003-04-02 00:00:00 |
|||
Revland, Markis K. | 59314 |
Arnolds Park IA Allegation: Failure to comply with previous order and failure to respond to Division inquiry Resolution: License suspended Date of Order/Settlement: 2004-01-07 00:00:00 |
|||
Bratty, Brooke | 59315 |
Council Bluffs IA Allegation: Sale of unregistered securities and/or business opportunities; failure to cooperate in an investigation by the Insurance Division. Resolution: Order signed: Insurance license suspended; Pay $500 Fine; provide information to Iowa Ins. Div before suspension is lifted. Date of Order/Settlement: 2003-05-08 00:00:00 |
|||
Petersen, Jeff A. | 59316 |
Sioux City IA Allegation: Unlicensed activity Resolution: Consent signed: Cease and Desist with unlicensed offer and sale of insurance; Pay costs of $7000. Date of Order/Settlement: 2003-04-04 00:00:00 |
|||
Robey, Elmer E. | 59318 |
Dubuque IA Allegation: Accepting insurance business from unlicensed persons Resolution: Consent signed: Iowa Insurance license suspended for six months; Pay $500 Fine and $250 Costs before suspension is lifted. Date of Order/Settlement: 2003-06-30 00:00:00 |
|||
Blazicek, Diane J. | 59319 |
Johnson City NY Allegation: Material misstatement on application for licensure; revocation of insurance license in another state; failure to notify Division of prior actions Resolution: Order: License revoked Date of Order/Settlement: 2003-05-16 00:00:00 |
|||
Jennings, Geoffrey A. | 59329 |
Council Bluffs IA Allegation: Sold unregistered securities or business opportunities without proper licensure; failed to disclose criminal actions; violation of 18 U.S.C. section 1033; misappropriating funds or borrowing from clients after representing he was not. Resolution: Order 9/15/03: License suspended; cease and desist from doing any insurance business in Iowa. Order dated 12/5/03: License permanently revoked; Cease and desist from offer and sale of unregistered securities and without proper securities license. Date of Order/Settlement: 2003-12-05 00:00:00 |
|||
Cooper, Byron D. | 59331 |
Cedar Rapids IA Allegation: Unlicensed to sell securities; Sale of alleged investments in unregistered securities promissory notes Resolution: Consent signed: Cease and desist sale or offer to sell securities without a securities license; 2 years probation; $5000 civil penalty. Date of Order/Settlement: 2004-08-11 00:00:00 |
|||
Barnett, Robert R. | 59332 |
Salem IA Allegation: Sale of unregistered securities and/or unregistered business opportunities Resolution: Consent signed: 1 yr. probation; repay all commissions and/or finders fee payments $1400. Date of Order/Settlement: 2003-02-10 00:00:00 |
|||
Priest, Harry A. | 59336 |
Avoca IA Allegation: Sale of unregistered securities and/or business opportunities Resolution: Consent signed: 1 yr probation; restitution to investors of $8400; sell only approved insurance or securities products. Date of Order/Settlement: 2003-02-10 00:00:00 |
|||
Frey, Terry G. | 59337 |
Cedar Rapids IA Allegation: Failure to comply with Order and Consent to Order to surrender license Resolution: Order: license suspended pending resolution of administrative action Date of Order/Settlement: 2003-12-03 00:00:00 |
|||
Christensen Jr., Robert A. | 59340 |
Atlantic IA Allegation: Violation of Commissioners Order; Dishonest practices and incompetence; Failure to inform of address change Resolution: Order: License revoked Date of Order/Settlement: 2003-03-21 00:00:00 |
|||
Rhynsburger, Ronald J. | 59341 |
Sioux City IA Allegation: Failure to cooperate Resolution: Order: License suspended until response received; Pay $500 Fine. Date of Order/Settlement: 2003-03-20 00:00:00 |
|||
Mutual of Omaha Insurance Company | 59345 |
Omaha NE Allegation: Failure to comply with requirements of external review procedure Resolution: Consent signed: Pay $500 Fine Date of Order/Settlement: 2003-11-26 00:00:00 |
|||
Lark, Dershaun A. | 59347 |
Bellevue NE Allegation: Failure to cooperate; failure to notify Division of prior action Resolution: Order signed: License suspended until full response received Date of Order/Settlement: 2003-03-27 00:00:00 |
|||
Barnes, Lloyd | 59350 |
Omaha NE Allegation: Used unlicensed agent/agents to solicit and procure applications for insurance; retained excess premium;signed application without authorization Resolution: Consent signed: License revoked Date of Order/Settlement: 2003-02-13 00:00:00 |
|||
Glawe, Jerald L. | 59351 |
Algona IA Allegation: Sale of unregistered securities and/or business opportunities Resolution: Consent signed: 1 yr probation; repay all commissions and/or finders fees of $1400; sell only approved insurance products. Date of Order/Settlement: 2003-06-02 00:00:00 |
|||
Lacona, Christopher D. | 59366 |
Carlisle IA Allegation: Failure to notify Division of criminal violations on license application; failure to cooperate with a Division investigation; Resolution: Consent signed: License suspended for 30 days; $250 Fine; Date of Order/Settlement: 2005-07-13 00:00:00 |
|||
Privolos, George T. | 59368 |
Bloomington IL Allegation: Provided incorrect information on license application Resolution: Order: License revoked; Pay $500 Fine and $200 Costs before relicensure Date of Order/Settlement: 2005-07-29 00:00:00 |
|||
Taylor, Thomas C. | 59369 |
Florissant MO Allegation: Failure to notify Division of criminal action Resolution: Order: License revoked; Pay $500 Fine and $200 Costs before relicensure Date of Order/Settlement: 2005-07-29 00:00:00 |
|||
Haley, Robert E. | 59376 |
San Antonio TX Allegation: Failure to notify of other states actions Resolution: Order: License revoked. Date of Order/Settlement: 2005-12-19 00:00:00 |
|||
Gulsvig, Ronald G. | 59388 |
Waterloo IA` Allegation: Failure to pay child support Resolution: License suspended Date of Order/Settlement: 2005-09-06 00:00:00 |
|||
Dixon, William R. | 59391 |
Apalachin NY Allegation: Failure to report another states administrative action Resolution: Consent signed: Cease and desist violations of Iowa insurance statutes and rules; pay $125 Fine and $125 Costs Date of Order/Settlement: 2005-09-23 00:00:00 |
|||
Hegedus, Margo | 59393 |
Tampa FL Allegation: Failure to notify of other state's action Resolution: Order; License revoked $250 fine Date of Order/Settlement: 2005-12-22 00:00:00 |
|||
Burkett, Jeffrey | 59394 |
Warren OH Allegation: Failure to notify of other states action Resolution: Order; License revoked $250 fine Date of Order/Settlement: 2005-12-22 00:00:00 |
|||
Artz, Scott | 59395 |
Sarasota FL Allegation: Failure to notify of other states action Resolution: Order; License revoked; $250 fine Date of Order/Settlement: 2005-12-22 00:00:00 |
|||
Newkirk, Timothy | 59396 |
De Pere WI Allegation: Failure to notify of other state's action Resolution: Order; License revoked $250 fine Date of Order/Settlement: 2005-12-22 00:00:00 |
|||
Goff, John | 59397 |
Pike Road AL Allegation: Failure to notify of other state's action Resolution: Order; License revoked $250 fine Date of Order/Settlement: 2005-12-22 00:00:00 |
|||
Sonnichsen, Alan | 59400 |
Westport CT Allegation: Failure to notify of other state's action Resolution: Order License revoked $250 fine Date of Order/Settlement: 2005-12-22 00:00:00 |
|||
Golden Rule Insurance Company | 59424 |
Lawrenceville IL Allegation: Market Conduct Exam; Advertising violations Resolution: Consent Signed: See Consent; $70000 Fine Date of Order/Settlement: 2002-06-18 00:00:00 |
|||
Stephens, Dennis M. | 59428 |
Lake Mills IA Allegation: Marketing and sales violations Resolution: Consent Signed: Use only approved marketing materials; repay personal loans; 2 yrs probation; Date of Order/Settlement: 2001-06-05 00:00:00 |