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 | Subject | Entity | Order |
|---|---|---|---|---|---|
| Robert L. and Michelle R. Dugger Funeral Homes LLC | 83336 | May 5, 2014 | Regulated Industries | Preneed Sales Agent, Preneed Seller |
Order of Suspension for Good Cause as to Sales Agent |
| Robert L. and Michelle R. Dugger Funeral Homes LLC | 83336 | May 5, 2014 | Regulated Industries | Preneed Sales Agent, Preneed Seller |
Order of Suspension for Good Cause as to Seller |
| Robert L. and Michelle R. Dugger Funeral Homes LLC | 83336 | May 28, 2014 | Regulated Industries | Preneed Sales Agent, Preneed Seller |
Order & Consent to Order |
| S.K. Rogers Funeral Homes LLC | 83337 | May 12, 2014 | Regulated Industries | Preneed Seller |
Order of Suspension for Good Cause |
| S.K. Rogers Funeral Homes LLC | 83337 | June 9, 2014 | Regulated Industries | Preneed Seller |
Order & Consent to Order |
| Andrews, Ronald Anthony (Tony) | 83390 | May 8, 2014 | Regulated Industries | Preneed Sales Agent |
Order of Suspension for Good Cause |
| Andrews, Ronald Anthony (Tony) | 83390 | May 30, 2014 | Regulated Industries | Preneed Sales Agent |
Order and Consent to Order |
| Behner, Fred A. | 83393 | July 11, 2014 | Regulated Industries | Preneed Sales Agent |
Order & Consent to Order |
| Behner, Fred A. | 83393 | May 8, 2014 | Regulated Industries | Preneed Sales Agent |
Order of Suspension for Good Cause |
| Boothby, Michael D. | 83394 | June 12, 2014 | Insurance | Preneed Sales Agent |
Order & Consent to Order |
| Boothby, Michael D. | 83394 | May 8, 2014 | Regulated Industries | Preneed Sales Agent |
Order of Suspension for Good Cause |
| Critchfield, Jack A. | 83395 | September 4, 2014 | Regulated Industries | Preneed Sales Agent |
Order & Consent to Order |
| Douglas-Henderson, Donna | 83396 | July 16, 2014 | Regulated Industries | Preneed Sales Agent |
Order & Consent to Order |
| Douglas-Henderson, Donna | 83396 | May 29, 2014 | Regulated Industries | Preneed Sales Agent |
Order of Suspension for Good Cause |
| Fredregill, Ryan M. | 83398 | August 20, 2014 | Regulated Industries | Preneed Sales Agent |
Order & Consent to Order |
| Fredregill, Ryan M. | 83398 | June 13, 2014 | Regulated Industries | Preneed Sales Agent |
Order of Suspension for Good Cause |
| Johnson, Courtney L. | 83414 | June 26, 2014 | Regulated Industries | Preneed Sales Agent |
Order & Consent to Order |
| Johnson, Courtney L. | 83414 | May 12, 2014 | Regulated Industries | Preneed Sales Agent |
Order of Suspension for Good Cause |
| Johnson, Karen S. | 83415 | June 9, 2014 | Regulated Industries | Preneed Sales Agent |
Order & Consent to Order |
| Johnson, Karen S. | 83415 | May 12, 2014 | Regulated Industries | Preneed Sales Agent |
Order of Suspension for Good Cause |
| Sanders, Aaron | 83417 | May 12, 2014 | Regulated Industries | Preneed Sales Agent |
Order of Suspension for Good Cause |
| Sanders, Aaron | 83417 | July 7, 2014 | Regulated Industries | Preneed Sales Agent |
Order & Consent to Order |
| McQuaid, Nancy | 83418 | July 16, 2014 | Regulated Industries | Preneed Sales Agent |
Order & Consent to Order |
| Petersen, James R. | 83422 | August 5, 2014 | Regulated Industries | Preneed Sales Agent |
Order & Consent to Order |
| Petersen, James R. | 83422 | June 12, 2014 | Regulated Industries | Preneed Sales Agent |
Order of Suspension for Good Cause |
| Peterson, Kasey S. | 83427 | November 6, 2014 | Regulated Industries | Preneed Sales Agent |
Order & Consent to Order |
| Quast, Steven Jon | 83429 | May 28, 2014 | Regulated Industries | Preneed Sales Agent |
Order & Consent Order |
| Quast, Steven J. | 83429 | May 8, 2014 | Regulated Industries | Preneed Sales Agent |
Order of Suspension for Good Cause |
| 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 |
| Rosenberg, Misty L. | 83431 | June 24, 2014 | Regulated Industries | Preneed Sales Agent |
Order & Consent to Order |
| Rosenberg, Misty L. | 83431 | May 7, 2014 | Regulated Industries | Preneed Sales Agent |
Order of Suspension for Good Casue |
| Schroeder, Melvin | 83453 | June 24, 2014 | Regulated Industries | Preneed Sales Agent |
Order & Consent to Order |
| Thomas, Kirk | 83456 | June 23, 2014 | Regulated Industries | Preneed Sales Agent |
Order & Consent to Order |
| Nissen, Laura L. | 83459 | September 8, 2014 | Regulated Industries | Preneed Sales Agent |
Order & Consent Order |
| Rodriguez, Anabel | 83463 | September 9, 2014 | Regulated Industries | Preneed Sales Agent |
Order & Consent Order |
| Frank, Christopher T. | 83468 | July 29, 2014 | Regulated Industries | Preneed Sales Agent |
Order & Consent to Order |
| Schultz, Doug A. | 83495 | June 12, 2014 | Insurance | Producer |
Order for Suspension |
| Cummings, Ryan C. | 83506 | July 15, 2014 | Insurance | Producer |
Order for Suspension |
| Wubben, Richard F. | 83542 | July 7, 2014 | Insurance | Producer |
Order & Consent to Order |
| Schoepske, Dennis L. | 83562 | July 22, 2014 | Insurance | Producer |
Order for Suspension |
| Henton, Brian | 83574 | September 4, 2014 | Insurance | Producer |
Default Order of Revocation, Cease and Desist and Civil Penalty |
| Pribil, John W. | 83575 | August 11, 2014 | Insurance | Producer |
Default Order of Revocation, Cease and Desist and Civil Penalty |
| Baltes, John R. | 84166 | October 8, 2014 | Insurance | Producer |
Order & Consent to Order |
| Lyman, Lynn M. | 84167 | September 4, 2014 | Insurance | Producer |
Order for Suspension |
| Anderson, Gary B. | 84169 | October 8, 2014 | Insurance | Producer |
Order for Suspension |
| Diaz, Rodrigo | 84186 | August 20, 2014 | Insurance | Producer |
Default Order of Revocation, Cease and Desist and Civil Penalty |
| Walker, Charles R. | 84207 | August 11, 2014 | Insurance | Producer |
Order for Suspension |
| Kopatz, Christopher | 84412 | September 4, 2014 | Insurance | Producer |
Default Order of Revocation, Cease and Desist and Civil Penalty |
| J.P. Morgan Securities | 84425 | June 23, 2014 | Securities | Broker Dealer |
Administrative Consent Order |