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 |
|---|---|---|---|---|---|
| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |