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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 Sort ascending Case Number Enforcement Date Subject Entity Order
Healey, James

Dubuque IA

Allegation: Sale of unregistered securities; Unregistered agent; Misrepresentations and Omissions.

Resolution: Cease & Desist Order issued.

Date of Order/Settlement: 2009-04-03 00:00:00

HCC Group d/b/a HCC Life Insurance Company; HCC Medical Insurance Services, LLC; HCC Insurance Holdings, Inc. 97348 April 2, 2018 Insurance Insurance Company

Regulatory Settlement Agreement

Hayslett, Chad 71110 July 8, 2011 Insurance Producer

Order for Suspension

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

Hawkeye Life Insurance Group

West Des Moines IA

Allegation: Failure to timely file annual audited reports.

Resolution: Consent Order issued and assessed a monetary penalty.

Date of Order/Settlement: 2008-07-02 00:00:00

Hauptman, Bruce A. 92501 August 4, 2017 Securities Unlicensed

Order and Consent to Order

Hasan, L. Basheer

Des Moines IA

Allegation: Acted as an unregistered securities agent and investment advisor

Resolution: Order Agreement and Consent Order - Cease & Desist

Date of Order/Settlement: 2006-08-03 00:00:00

Hartsock, Jason A.

Iowa City IA

Allegation: Failure to disclose any prior criminal history

Resolution: Order: Iowa Insurance license revoked.

Date of Order/Settlement: 2004-06-24 00:00:00

Hartford Life Insurance Company

Simsbury CT

Allegation: Failure to respond to two separate inquiries related to a complaint received by the Division.

Resolution: Consent Order signed and a monetary penalty assessed.

Date of Order/Settlement: 2007-09-17 00:00:00

Hartford Life and Accident Insurance Company 91864 August 31, 2016 Insurance Insurance Company

Regulatory Settlement Agreement

Harris, Marcus S. 93272 March 21, 2017 Insurance Producer

Order for Suspension

Harris, Keith J. 75940 April 2, 2012 Insurance Producer

Order and Consent to Order

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

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

Hanson, Denae J. 94050 July 7, 2017 Insurance Producer

Order for Suspension

Hankins, Catherine 80210 August 8, 2013 Insurance Producer

Order for Suspension

Handke, Troy 72567 September 23, 2011 Insurance Producer

Order and Consent to Order

Hancock, John 78590 November 9, 2012 Insurance Insurance Company

Regulatory Settlement Agreement

Hammes, Kristina

North Liberty IA

Allegation: Failure to pay child support

Resolution: Order for Suspension issued.

Date of Order/Settlement: 2009-06-18 00:00:00

Halsband, Emily J.

Clive IA

Allegation: Conviction of two class "C" felonies

Resolution: Consent signed: Iowa insurance license revoked permanently; barred from reapplying for a securities license in Iowa

Date of Order/Settlement: 2004-03-31 00:00:00

Halferty, Melissa L. 82106 February 25, 2014 Insurance Producer

Order for Suspension

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

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

Hague, Mervin Duane

Evansdale IA

Allegation: Unregistered agent; misrepresentations; omissions of material facts in the sale of securities.

Resolution: Order: Cease and desist the offer or sale of unregistered non exempt securities; acting as securities agent without registration in Iowa; making untrue statements; omitting material facts.

Date of Order/Settlement: 2004-07-01 00:00:00

Hagin, Robert P. 89352 February 19, 2016 Insurance Producer

Order for Suspension

Guttenberg Municipal Hospital 63066 February 23, 2011 Insurance

Dismissal; Proposed Decision

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

Guess, Mathew W. 80221 July 10, 2013 Insurance Producer

Order & Consent to Order

Guardian Life Insurance Company of America 87164 April 6, 2015 Insurance Insurance Company

Regulatory Settlement Agreement

Guarantee Trust Life Insurance Company 82552 February 14, 2014 Insurance Insurance Company

Order Adopting Settlement

Growth Stock Guru

New York NY

Allegation: Unlicensed Investment Advisor and Representative; Misrepresentations and Omissions.

Resolution: Cease and Desist order issued and monetary penalty assessed.

Date of Order/Settlement: 2007-08-13 00:00:00

Grove Exteriors, LLC dba 123 Exteriors 109646 August 20, 2021 Insurance Public Adjuster, Unlicensed

Consent to Cease and Desist Order

Grosvenor, Maria

Riverview FL

Allegation: Failure to disclose a criminal conviction on license application.

Resolution: Consent Order issued and a monetary penalty assessed.

Date of Order/Settlement: 2008-05-20 00:00:00

Grismore Jr., David

Corydon IA

Allegation: Manipulated the insurance producer computer system in order to receive numerous policies for himself without paying.

Resolution: Consent Order issued and license revoked.

Date of Order/Settlement: 2008-03-17 00:00:00

Grillet, Sandy 77536 October 1, 2012 Insurance Producer

Order for Suspension

Greg H. Zastrow 106356 December 2, 2020 Insurance Producer

Order and Consent to Order

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

Order and Consent to Order

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

Gray, David R. 87457 October 20, 2015 Securities Securities Agent

Regulatory Settlement Agreement

Gramercy Insurance Company January 18, 2013 Insurance Insurance Company

Suspension Order

Goodwin, Roger Duane

West Des Moines IA

Allegation: Advertising violation Sales presentations violations and unlicensed activity.

Resolution: Consent signed; Fine $15000; agreement to not engage in business of insurance for 90 days; Quarterly reports and 1 yr probation.

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

Goodding, Britney J. 84719 December 30, 2014 Insurance Producer

Order & Consent to Order

Gomez, Kenneth and Sullivan, Brian 79099 July 18, 2013 Securities Unlicensed

Proposed Decision

Goldman Sachs & Co 58413

New York NY

Allegation: Failure to adequately supervise companies and investment banking staff.

Resolution: Consent: without admitting or denying cease and desist and pay $250000 Fine

Date of Order/Settlement: 2004-01-30 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

Golden American Life Insurance Company

West Chester PA

Allegation: Violations of right to return life insurance policy or annuity (free look).

Resolution: Consent: Refund to consumers of difference in premium; Pay $1000 Costs; Compliance.

Date of Order/Settlement: 2003-02-10 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

Goering, Wendy

Boone IA

Allegation: Failure to disclose criminal history.

Resolution: Decision - Ordered to pay civil penalty.

Date of Order/Settlement: 2007-04-09 00:00:00

GOATCO, LLC dba Anchor Roofing 108815 March 29, 2021 Insurance Public Adjuster, Unlicensed

Order and Consent to Order

Globe Life and Accident Insurance Company 101452 February 23, 2019 Insurance Insurance Company

Regulatory Settlement Agreement