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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
Tuve, John S. 71481 June 1, 2011 Insurance Producer

Agreement, Order and Consent to Order

Morgan Asset Management, Inc; Morgan Keegan & Company, Inc. 71514 July 27, 2012 Securities Broker Dealer, Investment Adviser

Administrative Consent Order

Ellis, James J. 71588 August 8, 2011 Insurance Producer

Order & Consent to Order

Ellis, James 71588 August 8, 2011 Insurance Producer

Order and Consent to Order

Inlay, Douglas 71609 October 18, 2011 Securities Securities Agent

Default Order

Whaley, Dean 71681 September 6, 2011 Insurance Producer

Order for Suspension

Financial Guaranty Insurance Company 71720 July 18, 2011 Insurance Insurance Company

Order and Consent to Order

Great Northwest Insurance Company 71722 July 20, 2011 Insurance Insurance Company

Order and Consent to Order

Americas Insurance Company 71723 August 15, 2011 Insurance Insurance Company

Order and Consent to Order

Lackland, Dante 71804 August 31, 2011 Insurance Producer

Order for Suspension

Travelers Casualty & Surety Company of America et al 71881 August 22, 2011 Insurance Insurance Company

Order and Consent to Order

Sferrazza, Angelo and IL Bridge Fund LLC 72127 September 26, 2011 Securities Unlicensed

Stop Order, Cease and Desist Order; Agreement Order, Consent to Order

Peck, Dawn 72186 September 6, 2011 Regulated Industries

Default Order

United States Fire Insurance Company 72225 August 19, 2011 Insurance Insurance Company

Order and Consent to Order

Raymond James & Associates, Inc 72282 September 17, 2012 Securities Broker Dealer

Administrative Consent Order

Howard, Dana 72408 October 18, 2011 Insurance Producer

Order for Suspension

Thomas, Brodie 72409 November 16, 2011 Insurance Producer

Order for Suspension

Alfrey, Debbie 72455 September 6, 2011 Insurance Producer

Consent Order

Stoneking, Jason 72566 September 27, 2011 Insurance Producer

Order for Suspension

Handke, Troy 72567 September 23, 2011 Insurance Producer

Order and Consent to Order

Iowa Dental Association 72585 November 8, 2011 Insurance

Declaratory Order

Hague, Mervin Duane 72598 March 2, 2012 Securities, Insurance Unlicensed

Cease and Desist Order and Subpoena Duces Tecum; Order and Consent to Order and Agreement

Roth, Brian 72743 January 9, 2012 Insurance Producer

Order for Suspension; Order Reinstating License After Suspension

Dorenkamp, Teresa Jo 72765 September 29, 2011 Securities Securities Agent

Order of Summary Suspension and Notice of Opportunity for Hearing; Order of Revocation of Securities Agent License

NCCI Filing E-1402 72766 December 27, 2011 Insurance

Findings of Fact, Conclusions of Law, and Order

Jerrick, Rober 72768 March 21, 2014 Insurance Producer

Order & Consent to Order

Ziesman, Chad 72839 December 5, 2011 Insurance Producer

Default Order

Mulhern, Theresa 73013 February 17, 2012 Securities Unlicensed

Consent Order

McNew, Chad G. 73020 November 17, 2011 Insurance Producer

Order and Consent to Order

Selby-Kirsch Funeral Service, Inc & Kirsch, Michael D. 73103 March 21, 2013 Regulated Industries Preneed Sales Agent, Preneed Seller

Order & Consent to Order

Kocian, Anthony 73384 February 21, 2012 Insurance Producer

Suspension Order

Sessions, Charles 73409 April 12, 2012 Insurance Producer

Suspension Order; Order Reinstating License After Suspension

Thomas, Sam 73410 May 1, 2012 Insurance Producer

Order for Suspension

U.S. Patriot Services 73436 November 17, 2011 Regulated Industries Unlicensed

Cease and Desist Order and Subpoena Duces Tecum; Agreement and Consent Order

Dansco Contracting; Dan Glasgow and Joel Manley 73437 November 18, 2011 Insurance Unlicensed

Summary Cease and Desist Order

Dansco Contracting and Dan Glasgow 73437 July 30, 2013 Insurance Unlicensed

Proposed Decision

Copeland, James 73628 February 21, 2012 Insurance Producer

Order for Suspension

Kempema, David 73774 January 25, 2012 Insurance Producer

Order and Consent to Order

Millage, Andrew 73785 June 4, 2012 Insurance Producer

Order for Suspension

McCann, Anthony 73812 February 2, 2012 Insurance Producer

General Agreement 

E*Trade Securities LLC 73961 September 17, 2012 Securities Broker Dealer

Administrative Consent Order

Carlson, Duane 73964 April 27, 2012 Insurance Producer

Order for Suspension

Duane A. Carlson 73964 January 25, 2021 Insurance Producer

Order Following Suspension and Expiration

Hussey, Thomas 73966 March 27, 2012 Insurance Producer

Order for Suspension

Noaker, Steven 73967 March 27, 2012 Insurance Producer

Order for Suspension

Strohbehn, Robert 73969 March 27, 2012 Insurance Producer

Order for Suspension

Cochran, David 73972 March 27, 2012 Insurance Producer

Order for Suspension

Beau, Robert 73973 March 27, 2012 Insurance Producer

Order for Suspension

Johnson, Melanie 74135 May 2, 2012 Insurance Producer

Order for Suspension

Weaver, Andy 74140 June 4, 2012 Insurance Producer

Order for Suspension