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 |
|---|---|---|---|---|---|
| Privolos, George T. | 59368 |
Bloomington IL Allegation: Provided incorrect information on license application Resolution: Order: License revoked; Pay $500 Fine and $200 Costs before relicensure Date of Order/Settlement: 2005-07-29 00:00:00 |
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| Frey, Terry G. | 59337 |
Cedar Rapids IA Allegation: Failure to comply with Order and Consent to Order to surrender license Resolution: Order: license suspended pending resolution of administrative action Date of Order/Settlement: 2003-12-03 00:00:00 |
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| Success Trust and Holding LLC |
Simpsonville SC Allegation: Sale of unregistered security. Resolution: Cease and Desist Order issued. Date of Order/Settlement: 2007-03-15 00:00:00 |
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| Wilhelmson, Steven C. | 58046 |
Warr Acres OK Allegation: Providing incorrect information in license application; revocation of license by another state; failure to notify Division of prior actions. Resolution: Order signed: License revoked Date of Order/Settlement: 2004-10-08 00:00:00 |
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| Barnett, Robert R. | 59332 |
Salem IA Allegation: Sale of unregistered securities and/or unregistered business opportunities Resolution: Consent signed: 1 yr. probation; repay all commissions and/or finders fee payments $1400. Date of Order/Settlement: 2003-02-10 00:00:00 |
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| Whitinger, Trent |
Fairfax IA Allegation: Falsified coverage Resolution: Consent Order issued suspending insurance producer license for 180 days and imposed a civil penalty. Date of Order/Settlement: 2008-12-31 00:00:00 |
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| Artz, Scott | 59395 |
Sarasota FL Allegation: Failure to notify of other states action Resolution: Order; License revoked; $250 fine Date of Order/Settlement: 2005-12-22 00:00:00 |
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| Gibson, Roderick P. | 58624 |
Helotes TX Allegation: Providing incorrect or incomplete information on application for licensure; Revocation of insurance license by another state; Failure to notify Division of prior actions Resolution: Order: Iowa insurance license permanently revoked Date of Order/Settlement: 2004-03-22 00:00:00 |
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| Huff Sr., Roland L | 58942 |
Des Moines IA Allegation: Replacement violations Resolution: Consent signed: Cease and desist; $500 Costs Date of Order/Settlement: 2001-06-19 00:00:00 |
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| Moscoso, Luis |
Dubuque IA Allegation: Unauthorized Insurer; Failure to disclose to policyholders that NFA is not a tax exempt organization; Misleading sales presentations; Unlawful solicitation of insurance business; Unsuitable transactions or recommendations. Resolution: Consent Order signed: Insurance producer license is revoked and is permanently barred from reapplying for insurance license or applying for a securities agent license or investment advisor representative license. Date of Order/Settlement: 2007-08-21 00:00:00 |
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| Premium Income Corporation | 58124 |
Seattle WA Allegation: Sale of unregistered securities in Iowa; misrepresentations and omissions in the sales of unregistered securities Resolution: Cease and desist order in the sale of unregistered securities by an unregistered agent. Date of Order/Settlement: 2005-03-22 00:00:00 |
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| Smith, Yusef D. | 58689 |
Cedar Rapids IA Allegation: Application disclosures Resolution: Consent signed: Granted insurance license for health qualification with restrictions. Date of Order/Settlement: 2003-06-02 00:00:00 |
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| Opheim, James |
Spencer IA Allegation: Misappropriation of funds Resolution: Summary suspension Order to Cease and Desist and Revocation Date of Order/Settlement: 2009-07-31 00:00:00 |
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| Augustine, Amanda | 58630 |
Streator IL Allegation: Failure to notify Division of prior actions Resolution: Order: License revoked; pay Fine of $500 and Costs of $200 before relicensure. Date of Order/Settlement: 2005-04-27 00:00:00 |
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| Schatz, Kenneth C. | 58835 |
Sioux City IA Allegation: Violation of previous order Resolution: Consent:License revoked Date of Order/Settlement: 2003-07-16 00:00:00 |
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| Smith, Douglas |
Ankeny IA Allegation: Misrepresentation; Replacement violation Resolution: Decision - 2 yr probation; 30 day suspension; Civil penalty assessed. Date of Order/Settlement: 2006-12-20 00:00:00 |
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| Silva Shea |
Santa Ana CA Allegation: Sale of unregistered securities by an unregistered agent Resolution: Order: Cease and desist of sale or offer of sale of unregistered securities in Iowa Date of Order/Settlement: 2004-08-06 00:00:00 |
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| Anderson, Paul A. | 59598 |
Alta IA Allegation: Failure to respond to IID inquiry; failure to remit premiums Resolution: Consent Signed: License surrendered; cooperate with investigation. Date of Order/Settlement: 2002-07-19 00:00:00 |
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| 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 |
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| Northrop, Kenneth |
Floyd IA Allegation: Named as a beneficiary on a policy of an unrelated policyholder Resolution: Consent: Cease and desist violation; 1 year probation; repay to the estate the amount received Date of Order/Settlement: 2005-09-12 00:00:00 |
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| Strohmeier, Gretchen A. | 59071 |
Springboro OH Allegation: Selling annuity insurance policies in Iowa without a license in December 1994 and February 1995. Resolution: Consent signed: Pay $1100 Fine; Have active nonresident Iowa license before selling in Iowa; Report any administrative action taken within 30 days. Date of Order/Settlement: 2004-02-05 00:00:00 |
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| Duffin, Richard |
Lehi UT Allegation: Unregistered investment advisor and representative. Resolution: Consent Order signed and civil penalty assessed. Date of Order/Settlement: 2007-05-29 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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| Moffitt, Joann M. |
Olathe KS Allegation: Misappropriating monies; using fraudulent coercive or dishonest practices in the conduct of business; demonstrating incompetence untrustworthiness or financial irresponsibility in the conduct of business. Resolution: Order issued and a consent order issued revoking insurance producer license. Date of Order/Settlement: 2009-03-04 00:00:00 |
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| Flowers, Larry W. |
Gainsville GA Allegation: Failure to notify Division of prior actions; Failure to cooperate with investigation. Resolution: License revoked. Date of Order/Settlement: 2006-03-22 00:00:00 |
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| Stevens, Mike | 58018 |
Eagle Grove IA Allegation: Acting as unregistered securities agent Resolution: Order: Cease and desist acting as a securities agent without registration. Date of Order/Settlement: 2004-04-20 00:00:00 |
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| 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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| Yamada, Judy Ann |
Harlan IA Allegation: Failure to disclose criminal convictions on appl. For licensure. Resolution: Consent signed & monetary penalty assessed. Date of Order/Settlement: 2007-10-15 00:00:00 |
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| Huebner, Daniel W. | 58752 |
Grinnell IA Allegation: Replacement violations; receiving commissions without company appointment; Omissions from insurance applications Resolution: Order: Cease and Desist from further violation; $800 Fine; $500 Costs Date of Order/Settlement: 2002-02-15 00:00:00 |
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| Maytag Corporation |
Benton Harbor MI Allegation: Failure to timely file and failure to respond. Resolution: Consent Order issued and monetary penalty assessed. Date of Order/Settlement: 2008-01-16 00:00:00 |
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| Praul, Allen D. | 58123 |
Bettendorf IA Allegation: Sale of unregistered securities; omitting material facts/ information; misstatements of material facts; practice to defraud; unregistered as a securities agent; unsuitable sales; exerted undue influence over clients. Resolution: Consent signed: insurance license revoked; permanently barred from reapplying; permanently barred from applying for securities license. Date of Order/Settlement: 2005-06-21 00:00:00 |
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| Lauer, Gordon A. | 58824 |
West Union IA Allegation: Conviction of a felony Resolution: Consent signed: License revoked permanently and forevermore Date of Order/Settlement: 2003-09-19 00:00:00 |
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| (The) Just Foundation |
Tarpon Springs FL Allegation: Unregistered securities Unregistered agents Ommissions and Misrepresentations. Resolution: Order and Consent to Order signed. Civil penalty imposed in Cease & Desist is vacated. Date of Order/Settlement: 2007-02-07 00:00:00 |
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| Larpenter, Patricia | 58092 |
Des Moines IA Allegation: Offered and sold unregistered securities (promisary notes); misrepresented material facts; omitted material facts. Resolution: Cease and desist ordering hald sales and offers to sell securities; misrepresentation and omission of material facts in the offer and selling of securities; cease and desist acting as agents while unregistered Date of Order/Settlement: 2004-09-17 00:00:00 |
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| Lopez, Wilson Joseph | 59001 |
Bellevue NE Allegation: Other states action Resolution: Consent Signed: 1 year Probationary license with life and health qualifications restrictions Date of Order/Settlement: 2002-10-10 00:00:00 |
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| Whirlpool Corporation |
Benton Harbor MI Allegation: Failure to timely file renewal. Resolution: Consent Order issued and monetary penalty assessed. Date of Order/Settlement: 2008-08-13 00:00:00 |
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| Newkirk, Timothy | 59396 |
De Pere WI 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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| Evanovich, Roy | 58420 |
Washington IA Allegation: Unregistered securities agent; offer to sell and sold unregistered securities; fraudulent practices. Resolution: Order: Cease & desist offering or selling any security in this state unless the security is registered or exempt; Cease & desist transacting business as a securities agent in this state; Cease & desist engaging in fraudulent practices Date of Order/Settlement: 2004-02-26 00:00:00 |
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| Kolbe, Joseph R. | 59227 |
Bradenton FL Allegation: Unsuitable Sales & Twisting Resolution: Consent signed: 2 yrs probation; $2500 Fine; $750 Costs Date of Order/Settlement: 2001-02-28 00:00:00 |
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| Tallett, David |
Cedar Rapids IA Allegation: Advertising Violation Resolution: Consent Order signed. Civil penalty assessed. Date of Order/Settlement: 2007-07-19 00:00:00 |
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| 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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| Fagan, Robert Shaun | 58685 |
Kansas City MO Allegation: Misrepresentations in insurance applications Resolution: Order: License suspended; Pay $500 Fine Date of Order/Settlement: 2003-04-17 00:00:00 |
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| Cillo, Mark |
Saint Louis MO Allegation: Misrepresentation Resolution: Order Vacating Summary Cease and Desist Order Date of Order/Settlement: 2009-05-27 00:00:00 |
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| Stabile, Timothy |
Ottumwa IA Allegation: Stabile improperly withheld misappropriated or converted moneys received in the course of doing business. Resolution: Order & Consent to Order - permanently barred from reapplying for an insurance producer license in Iowa and also permanently barred from reapplying for a securities agent license in Iowa. Date of Order/Settlement: 2006-08-08 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 |