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 |
|---|---|---|---|---|---|
| Prosapia Financial LLC; Prosapia Capital Management LLC; Alan Lucas; Robyn Renee Palmer | 68806 | January 28, 2011 | Securities | Unlicensed |
Cease and Desist Order; Proposed Decision |
| Provident Life and Accident Insurance Company | 58134 |
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 |
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| 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 |
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| Public Service Insurance Company | September 30, 2021 | Insurance | Insurance Company |
Order Reinstating Certificate of Authority After Suspension |
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| Public Service Insurance Company | May 3, 2018 | Insurance | Insurance Company |
Summary Order of Suspension |
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| Puget Sound Agricultural Society | 59737 |
Arbuckle CA Allegation: Conducting business of insurance in Iowa without a license; other states actions. Resolution: Order on Default: Order to Cease and Desist issued on 1/22/02 is final; Cease and desist from the offer or sale of and operation of unauthorized insurer; $50000 civil penalty Date of Order/Settlement: 2002-02-20 00:00:00 |
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| QBE Holdings, Inc. | 96691 | December 8, 2017 | Insurance | Insurance Company |
Regulatory Settlement Agreement |
| Quanaijha Spradley | 104797 | April 16, 2020 | Insurance | Producer |
Order and Consent to Order |
| Quast, Steven J. | 83429 | May 8, 2014 | Regulated Industries | Preneed Sales Agent |
Order of Suspension for Good Cause |
| Quast, Steven Jon | 83429 | May 28, 2014 | Regulated Industries | Preneed Sales Agent |
Order & Consent Order |
| R&Q Reinsurance Company | 70099 | April 27, 2011 | Insurance | Insurance Company |
Order and Consent to Order |
| Rader-Smith, Michelle D. | 86805 | May 5, 2015 | Insurance | Producer |
Order for Suspension |
| Raines, John E. | 59508 |
Fairfield IA Allegation: Marketing and sales violations Resolution: Consent Signed: Cease and desist; 2 yrs probation; assist IID’s investigation; Return 10% of investment to clients Date of Order/Settlement: 2001-04-05 00:00:00 |
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| Rainey, Leland | 65834 | February 24, 2011 | Insurance | Unlicensed |
Order and Consent to Order |
| Rampart Insurance Company | May 20, 2021 | Insurance | Insurance Company |
Order and Consent to Order |
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| Ramsden, Mark A. | 83430 | June 24, 2014 | Regulated Industries | Preneed Sales Agent |
Order & Consent to Order |
| Ramsden, Mark A. | 83430 | May 8, 2014 | Regulated Industries | Preneed Sales Agent |
Order of Suspension for Good Cause |
| Randy Rudolph | 95133 | January 2, 2018 | Insurance | Producer |
Order Reinstating License After Suspension |
| Randy Rudolph | 99309 | October 24, 2018 | Insurance | Producer |
Order for Suspension |
| Range, Lord Stephen A. | 92643 | December 6, 2016 | Insurance | Producer |
Order for Suspension |
| Range, Lord Stephen A. | 89632 | April 22, 2016 | Insurance | Producer |
Order Reinstating License After Suspension and Order for Suspension |
| Ray Jr., Rayna | 58582 |
San Francisco CA 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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| Raymond James & Associates, Inc | 72282 | September 17, 2012 | Securities | Broker Dealer |
Administrative Consent Order |
| Raymond, Daniel R. | 58348 |
Kansas City MO Allegation: Failure to report criminal prosecution Resolution: Order Signed: License revoked Date of Order/Settlement: 2000-08-16 00:00:00 |
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| RBC Capital Markets, LLC | 80979 | December 5, 2013 | Securities | Broker Dealer |
Administrative Consent Order |
| Read, William |
Vancouver WA Allegation: Unregistered securities; Unregistered agent; Misrepresentation and Omissions Resolution: Cease and Desist Order issued and monetary penalty assessed. Date of Order/Settlement: 2008-02-15 00:00:00 |
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| Reid's Funeral Chapel | 78761 | January 8, 2013 | Regulated Industries | Unlicensed |
Order & Consent to Order |
| Reliable Life Insurance Company |
Chicago IL Allegation: Discriminatory Sales Practices Resolution: Consent Signed: Initiate compliance; payment of allocated sanction specified for Iowa; Date of Order/Settlement: 2002-07-16 00:00:00 |
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| Renee L. Hill | 99825 | February 11, 2019 | Insurance | Producer |
Order and Consent to Order |
| Reno, Mark |
Des Moines IA Allegation: Misappropriation of money; Dishonesty incompetence untrustworthiness; Failure to notify Division of address change. Resolution: Consent Order signed; License revoked and barred from reapplying for 2 yrs. Date of Order/Settlement: 2007-09-14 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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| Revland, Markis K. | 59062 |
Arnolds Park IA Allegation: Failure to notify Iowa Ins. Division of other states prior actions Resolution: Order: Iowa Insurance license permanently revoked; Pay $5000 Fine; $500 Costs. Date of Order/Settlement: 2004-03-11 00:00:00 |
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| Reyes, Bryan | 70932 | April 14, 2011 | Insurance | Producer |
Order of Summary Suspension and Notice of Opportunity for Hearing |
| Reynaldo Castillo | 74155 | July 6, 2021 | Insurance | Producer |
Order Reissuing License After Revocation |
| 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 |
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| Rhoades, David | 80033 | November 25, 2014 | Insurance | Producer |
Order Reinstating License After Suspension and Suspension Order |
| Rhonda McGarry | 102338 | September 13, 2019 | Insurance | Producer |
Order for Suspension |
| Rhone, Robert M. | 59594 |
Mingo IA Allegation: Failure to submit premiums to ins. co.. Resolution: Consent Signed: License suspended: pay $800 Fine; $200 Costs; Maintain separate premium trust account. Date of Order/Settlement: 2002-05-09 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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| Ribbens, Nathan T. | 94065 | July 25, 2017 | Insurance | Producer |
Order Reinstating License After Suspension and Order for Suspension |
| Richard L. Powell | 105842 | June 4, 2020 | Insurance | Producer |
Order for Suspension |
| Richard S. Martin | 96531 | April 3, 2018 | Insurance | Producer |
Order Reinstating License After Suspension |
| Richard S. Martin | 96531 | January 31, 2018 | Insurance | Producer |
Order for Suspension |
| Richardson, Terry C. | 58425 |
Des Moines IA Allegation: Violations of Securities Act; Unregistered agent & investment adviser representative Misrepresentations & Omissions Cease and Desist orders issued by other states Resolution: Consent: permanently barred from reapplying for insurance producer license; pay $3000 Costs; cooperate in investigation; Date of Order/Settlement: 2006-02-23 00:00:00 |
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| Richardson, Tom | 80333 | December 30, 2013 | Insurance | Producer |
Order & Consent Order |
| Richele Jacob | 101092 | June 13, 2019 | Insurance | Producer |
Order for Suspension |
| Richie Logsdon | 77659 | January 31, 2020 | Insurance | Producer |
Order for Reissuance After License Suspension and Expiration |
| Ricky Joe Halvorsen | 97720 | June 6, 2018 | Insurance | Producer |
Order and Consent to Order |
| Riggall, John | 59575 |
Centerville IA Allegation: Selling products not issued by a licensed insurance company Resolution: Consent Signed: Cease and desist; 2 yr probation; supervision; pay monetary amount of $12000 Date of Order/Settlement: 2002-03-25 00:00:00 |