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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 Enforcement Date Sort ascending Subject Entity Order
Essig, Ruthann 68951 March 15, 2011 Insurance Producer

Suspension Order

Lemke, John 68983 March 10, 2011 Regulated Industries Preneed Sales Agent

Default Order

Coleman, Ronald 68603 March 8, 2011 Insurance Producer

Order and Consent to Order

Lincoln General Insurance Company 70096 March 4, 2011 Insurance Insurance Company

Order and Consent to Order

Wolff, Wesley 70458 March 4, 2011 Insurance Producer

Rescission of Order

Flaherty, Dennis M. 68888 February 25, 2011 Insurance Public Adjuster

Order and Consent to Order

Rainey, Leland 65834 February 24, 2011 Insurance Unlicensed

Order and Consent to Order

Guttenberg Municipal Hospital 63066 February 23, 2011 Insurance

Dismissal; Proposed Decision

Holtsinger, John 70273 February 22, 2011 Securities Unlicensed

Cease and Desist Order; Proposed Decision

Schliemann, Justin 69795 February 14, 2011 Insurance Producer

Suspension Order

Budget Rent A Car of Iowa City 70056 February 7, 2011 Insurance Unlicensed

Order and Consent to Order

Feeck, Ryan 69614 February 3, 2011 Insurance Producer

Order and Consent to Order

Krier, Steven 69614 February 3, 2011 Insurance Producer

Order and Consent to Order

Blake, Michael 66623 February 1, 2011 Insurance Producer

Order for Suspension; Order Reinstating License After Suspension

Prosapia Financial LLC; Prosapia Capital Management LLC; Alan Lucas; Robyn Renee Palmer 68806 January 28, 2011 Securities Unlicensed

Cease and Desist Order; Proposed Decision

Howard, Dana 69735 January 18, 2011 Insurance

Order and Consent to Order

Nguyen, Alven 10DOCID023 October 14, 2010 Insurance Producer

 

Proposed Decision; Appeal Decision

Schroder, Mark A. 68752 September 30, 2010 Insurance Producer

Order for Suspension

Covenant Benefits, Inc. a/k/a Covenant Advisors and Noah James Aulwes a/k/a Tom Lee Aulwes a/k/a Thomas Lee Aulwes 66957 August 24, 2010 Securities, Insurance Investment Adviser Representative, Producer

Order and Consent to Order and Agreement 

Conseco Life Insurance Company May 28, 2010 Insurance Insurance Company

Regulatory Settlement Agreement

White, Jill 67013 April 12, 2010 Regulated Industries Preneed Sales Agent

Consent Order and Dismissal Order

Waters, Jason R. 50976 October 17, 2005 Insurance Producer

Order and Consent to Order

Thomas, Joyce B. 58862 August 16, 2005 Insurance Producer

Order & Consent to Order

Extraordinary Films aka Extraordinary Media Group Ltd April 27, 2004 Securities Unlicensed

 

San Diego CA Beverly Hills CA Chula Vista CA Allegation: Selling unregistered securities Resolution: Order: Cease and desist the offer or sale of unregistered securities Date of Order/Settlement: 2004-04-27

 

Life Insurance Company of Georgia 59580 February 20, 2002 Insurance Insurance Company

Regulatory Settlement Agreement

Ritland, Karl Paul

Des Moines IA

Allegation: Unauthorized trades and use of discretionary power

Resolution: Consent: Securities license censured; 1 year probation; Pay $250 Fine and $250 Costs

Date of Order/Settlement: 2004-09-01 00:00:00

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

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

Anania, Milton W. (Mike)

Des Moines IA

Allegation: Using unlicensed individuals to solicit and sell; allowing them to sign his name and submit applications; collected commissions for these sales.

Resolution: Consent signed; license suspended 30 days; 1 year probation; Cease and Desist charging $50 documentation fee; Attend ethics class; Pay $5000 fine $500 administrative costs.

Date of Order/Settlement: 2004-12-14 00:00:00

Parsons, Roger R.

Tea SD

Allegation: Failure to report other states actions to Iowa Insurance Division

Resolution: Consent signed: Cease and desist from violation of Iowa Code Chapter 522B; Pay $150 Fine and $100 Costs

Date of Order/Settlement: 2005-03-10 00:00:00

Christian, Crystal 58178

Colorado Springs CO

Allegation: Failure to disclose information on license application; Failure to notify Division of prior actions.

Resolution: Order signed: License revoked; Pay $500 fine before license may be restored.

Date of Order/Settlement: 2005-04-18 00:00:00

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

Simmons, Henry 58158

Virginia Beach VA

Allegation: Failure to notify of other state administrative action; Failure to respond

Resolution: Order- License revoked.

Date of Order/Settlement: 2005-07-01 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

Insurance Corporation of New York 58637

New York NY

Allegation: Failure to comply with Iowa minimum capital and surplus requirements

Resolution: Order: Certificate of Authority suspended

Date of Order/Settlement: 2005-08-22 00:00:00

Turner, Robert C.

Raleigh NC

Allegation: Failure to notify Iowa Ins. Div. of other states administrative actions

Resolution: Cease and desist from violations; pay $125 Fine and $125 Costs

Date of Order/Settlement: 2005-10-11 00:00:00

Pell, Melissa 58185

Kenova WV 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

Dail, Angela 58375

Sorrento 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

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

Baccam, Phoukam

Des Moines IA

Allegation: Failure to respond

Resolution: License suspended.

Date of Order/Settlement: 2006-06-20 00:00:00

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

Glass, Susan

Mishawaka IN

Allegation: Failure to report administrative action

Resolution: Consent Order - $125 fine and other costs assessed.

Date of Order/Settlement: 2006-09-22 00:00:00

McCaa, Pam

Brownsville TX

Allegation: Unregistered securities agent; Solicited and sold unregistered securities in Iowa; and ommissions.

Resolution: Cease and Desist Order.

Date of Order/Settlement: 2006-11-13 00:00:00

Cabell, Douglas

Bettendorf IA

Allegation: Committed fraud and misrepresentation.

Resolution: Order and Consent to Order; Costs assessed and Civil penalty; 90 day suspension.

Date of Order/Settlement: 2007-01-03 00:00:00

Oberreuter, Sheryl

Norway IA

Allegation: Issued retroactive coverage.

Resolution: Order and Consent to Order - Suspension of insurance producer license for 60 days; Civil Penalty and Costs were assessed.

Date of Order/Settlement: 2007-02-21 00:00:00

Reynolds, Archie Paul

Simpsonville SC

Allegation: Acting as an unregistered securities agent; Sale of unregistered security.

Resolution: Cease and Desist Order issued.

Date of Order/Settlement: 2007-03-15 00:00:00

Lueders, Christine

Deer Park IL

Allegation: Surplus Violations.

Resolution: Consent Order signed and civil penalty assessed.

Date of Order/Settlement: 2007-05-10 00:00:00

Nationwide Life Insurance Company

Columbus OH

Allegation: Failure to cooperate in an invesitigation.

Resolution: Consent Order - Civil penalty and costs imposed and response received for the Divisions inquiries.

Date of Order/Settlement: 2007-06-05 00:00:00

Tapken, John

Marion IA

Allegation: Issued retroactive coverage and forged client signatures.

Resolution: Consent Order signed and civil penalty assessed.

Date of Order/Settlement: 2007-07-24 00:00:00

Moscoso, Luis

Dubuque IA

Allegation: Unauthorized Insurer; Failure to disclose to policyholders that NFA is not a tax exempt organization; Misleading sales presentations; Unlawful solicitation of insurance business; Unsuitable transactions or recommendations.

Resolution: Consent Order signed: Insurance producer license is revoked and is permanently barred from reapplying for insurance license or applying for a securities agent license or investment advisor representative license.

Date of Order/Settlement: 2007-08-21 00:00:00