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 |
|---|---|---|---|---|---|
| Riley, Carla | 77958 | November 20, 2012 | Insurance | Producer |
Order for Suspension |
| Riley, Dennis E. |
Cedar Falls IA Allegation: False statements and entries misrepresentation by producer on insurance application; omission of producers name on application; dishonesty. Resolution: Consent signed: Cease and desist violation; license suspended for 30 days; after suspension 2 year probation; complete CE ethics class; send copies of any complaints to Division within 30 days of receipt; pay $13000 fine and costs. Date of Order/Settlement: 2004-12-09 00:00:00 |
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| Riley, Derrick L. | 58469 |
Waterloo IA Allegation: Criminal convictions Resolution: Consent signed: 1 year probation from date license issued; Agrees to report any administration action within 30 days of final disposition; Agrees to report any criminal prosecution within 30 days of initial pretrial conference; Submit quarterly reports. Date of Order/Settlement: 2004-02-18 00:00:00 |
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| Riley, Logan | 76150 | May 4, 2012 | Insurance | Producer |
Order for Suspension |
| Ripka, Linda | 58807 |
Warsaw MN Allegation: Unregistered securities Unregistered agent Ommissions and Misrepresentations. Resolution: Order and Consent to Order. Civil penalty imposed in Cease & Desist is vacated. Date of Order/Settlement: 2006-12-18 00:00:00 |
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| 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 |
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| Riverside Cemetery | August 5, 2014 | Regulated Industries | Other |
Consent Order and Notice of Right to Hearing |
|
| RiverSource Life Insurance Company | 93566 | February 15, 2017 | Insurance | Insurance Company |
Regulatory Settlement Agreement |
| Robbins, Crysty | 82112 | February 26, 2014 | Insurance | Producer |
Order for Suspension |
| 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 |
| Robert McClintock | 104342 | February 18, 2020 | Insurance | Producer |
Order for Suspension |
| Robert Payne | 96970 | January 16, 2018 | Insurance | Producer |
Emergency Order to Cease and Desist |
| Robert Payne | 96970 | March 1, 2018 | Insurance | Producer |
Consent Order |
| Roberts, James | 78986 | May 20, 2013 | Insurance | Producer |
Order of Summary of Suspension and Notice of Opportunity for Hearing |
| Roberts, James | 78986 | December 23, 2013 | Securities, Insurance | Investment Adviser Representative, Producer, Securities Agent |
Order & Consent to Order |
| Roberts, James | 78986 | April 12, 2013 | Securities | Securities Agent |
Cease & Desist Order |
| Roberts, Sherie M. | 91308 | August 15, 2016 | Insurance | Producer |
Order for Suspension |
| Robertson, Bruce | 78655 | June 27, 2013 | Insurance | Producer |
Order for Suspension; Order Reinstating License After Suspension |
| Robey, Elmer E. | 59318 |
Dubuque IA Allegation: Accepting insurance business from unlicensed persons Resolution: Consent signed: Iowa Insurance license suspended for six months; Pay $500 Fine and $250 Costs before suspension is lifted. Date of Order/Settlement: 2003-06-30 00:00:00 |
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| Robins, Jeananne |
Clemmons IA Allegation: Child support violation. Resolution: Order for Suspension issued. Date of Order/Settlement: 2009-01-05 00:00:00 |
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| Roche, Michael J. | 58728 |
Madison WI Allegation: License application disclosures Resolution: Consent signed: Pay $500 fine Date of Order/Settlement: 2003-07-03 00:00:00 |
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| Rodriguez, Anabel | 83463 | September 9, 2014 | Regulated Industries | Preneed Sales Agent |
Order & Consent Order |
| Rodriguez, Daniel | 84487 | September 25, 2014 | Insurance | Producer |
Order & Consent to Order |
| Roe, Elizabeth A. | 86567 | June 7, 2016 | Insurance | Unlicensed |
Order and Consent to Order |
| Roger Duane Goodwin | 96500 | October 4, 2018 | Insurance | Producer |
Order and Consent to Order |
| Rohde, Mark F. | 89342 | September 30, 2016 | Insurance |
Order Placing Decision Under Seal |
|
| Roi, Louis |
Naperville IL Allegation: Surplus Violations. Resolution: Consent Order signed and civil penalty assessed. Date of Order/Settlement: 2007-05-10 00:00:00 |
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| Rolle, Robin | 68942 | March 15, 2011 | Insurance | Producer |
Suspension Order |
| Ronnfeldt, Gary B. | 58627 |
Miles IA Allegation: Misappropriation of premiums; converted funds to personal use Resolution: Consent signed: License permanently revoked. Date of Order/Settlement: 2004-02-06 00:00:00 |
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| Rooker, Andrew W. | 81209 | November 15, 2013 | Insurance | Producer |
Order for Suspension |
| Roos, Adam D. | 84985 | August 4, 2015 | Insurance | Producer |
Order & Consent to Order |
| Rory Moravetz | 103016 | December 11, 2019 | Insurance | Producer |
Order and Consent to Order |
| Rose, Noel S. |
Yuma AZ Allegation: Failure to notify of revocation of license in two states Resolution: Order: Permanent license revocation Date of Order/Settlement: 2004-03-15 00:00:00 |
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| Rosen, Michael |
Scarsdale NY Allegation: Prior regulatory action Resolution: Summary Order Denying Application for Securities Agent License. Date of Order/Settlement: 2009-02-06 00:00:00 |
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| 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 |
| Ross Nicholl | 104265 | February 17, 2020 | Insurance | Producer |
Order for Suspension |
| Ross, Michael J. | 58953 |
Hopkinton IA Allegation: Improper Sales Resolution: Consent Signed: Permanent license revocation Date of Order/Settlement: 2001-09-25 00:00:00 |
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| Roth, Brian | 72743 | January 9, 2012 | Insurance | Producer |
Order for Suspension; Order Reinstating License After Suspension |
| Roth, Samantha |
Germantown OH Allegation: Failure to notify Division of administrative action Resolution: Consent: Cease and desist violations of Iowa law; pay $125 Fine and $125 Costs Date of Order/Settlement: 2006-01-03 00:00:00 |
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| Rouse, Janie E. | 58994 |
Des Moines IA Allegation: Appealed denial of licensure Resolution: Order: Denial of Licensure upheld; may resubmit application on or after 9/30/02 Pay $200 Costs. Date of Order/Settlement: 2002-07-03 00:00:00 |
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| Rouse, Jeremy | 91329 | August 16, 2016 | Insurance | Producer |
Order for Suspension |
| Rowell, David | 78186 | November 13, 2012 | Insurance | Producer |
Order for Suspension |
| Rowen, Theodore R. | 59595 |
Colorado Springs CO Allegation: Failure to disclose felony convictions information on license application Resolution: Order Signed: License revoked Date of Order/Settlement: 2002-06-27 00:00:00 |
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| Royal Indemnity Company | 58489 |
Charlotte NC Allegation: Failure to respond to Division request for information Resolution: Consent signed: Provide substantive response to Divisions inquiry; Pay $500 Costs Date of Order/Settlement: 2004-05-14 00:00:00 |
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| Rudd, Jason |
Montrose IA Allegation: Failure to comply with Other State Agency - DHS; Non-compliance w/order of Child Support Resolution: License suspended. Date of Order/Settlement: 2007-01-24 00:00:00 |
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| Rudkin, George D. | 91379 | August 3, 2016 | Insurance | Producer |
Order Reinstating License After Suspension and Order for Suspension |
| Rudnicki, Jeffrey A. | 59463 |
Marion IA Allegation: Unauthorized signature on application Resolution: Order Signed: Revocation of License; $200 Fine; $100 Costs Date of Order/Settlement: 2001-09-05 00:00:00 |