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