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 |
|---|---|---|---|---|---|
| Black, Derek |
Osage Beach MO Allegation: Violated Iowa Insurance Trade Practices Act Resolution: Summary Cease & Desist Order Date of Order/Settlement: 2009-03-03 00:00:00 |
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| Dolphin, Troy W. | 58828 |
Des Moines IA Allegation: Insurance application fraud Resolution: Consent Signed: Surrender Iowa insurance producer license; refrain from reapplying; refrain from violations of Iowa insurance laws or regulations. Date of Order/Settlement: 2003-10-07 00:00:00 |
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| 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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| Chamley Financial LLC | 58058 |
Colorado Springs CO Allegation: Sold viatical settlement investment contracts while unregistered Resolution: Cease and desist issued to halt sale of unregistered securities Date of Order/Settlement: 2004-09-20 00:00:00 |
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| McLaughlin, Mark |
Green City MO Allegation: Unregistered agent Unregistered securities misrepresentations omissions. Resolution: Cease & Desist Order issued and a monetary penalty assessed. Date of Order/Settlement: 2007-10-12 00:00:00 |
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| Wright, Curtis M. | 59493 |
Waterloo IA Allegation: Failure to pay child support Resolution: License suspended Date of Order/Settlement: 2002-12-24 00:00:00 |
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| Borrego, Jesse | 58629 |
Buda TX 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: 2005-04-26 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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| 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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| 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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| Young, John D. |
Grand Rapids MI Allegation: Failure to notify Division of administrative action taken against him in another jurisdiction; Failure to respond to Division inquiry. Resolution: Deafult Decision issued revoking insurance producer license. Date of Order/Settlement: 2008-05-20 00:00:00 |
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| Bratty, Brooke | 59315 |
Council Bluffs IA Allegation: Sale of unregistered securities and/or business opportunities; failure to cooperate in an investigation by the Insurance Division. Resolution: Order signed: Insurance license suspended; Pay $500 Fine; provide information to Iowa Ins. Div before suspension is lifted. Date of Order/Settlement: 2003-05-08 00:00:00 |
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| Miover, Peter E. |
Pilot Mound IA Allegation: Appealing Proposed Decision Denying Licensure Resolution: Order Affirming Proposed Decision and Denying Licensure Date of Order/Settlement: 2008-08-11 00:00:00 |
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| Behnkendorf, Gerald D. | 58710 |
Algona IA Allegation: Improper sales of insurance products Resolution: Consent signed: Cease and desist from further violations; 2 years probation; report all consumer complaints to the Division within 30 days; pay $5000 costs. Date of Order/Settlement: 2003-06-30 00:00:00 |
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| Haley, Robert E. | 59376 |
San Antonio TX Allegation: Failure to notify of other states actions Resolution: Order: License revoked. Date of Order/Settlement: 2005-12-19 00:00:00 |
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| Spees, Lisa |
Keokuk IA Allegation: Using fraudulent or dishonest practices; failure to cooperate Resolution: Order: License revoked Date of Order/Settlement: 2004-07-15 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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| Gray, Jerome E. | 58078 |
Omaha NE Allegation: Unfair methods of competition and unfair or deceptive acts or practices; replacement violations Resolution: Consent Signed: 1 yr probation; Pay $500 Fine and Costs; adhere to all insurance regulations Date of Order/Settlement: 2004-12-06 00:00:00 |
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| Cillo, Mark |
Saint Louis MO Allegation: Summary Cease and Desist Order Resolution: Order Vacating Summary Cease and Desist Order Date of Order/Settlement: 2009-05-27 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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| Hasan, L. Basheer |
Des Moines IA Allegation: Acted as an unregistered securities agent and investment advisor Resolution: Order Agreement and Consent Order - Cease & Desist Date of Order/Settlement: 2006-08-03 00:00:00 |
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| UNUM Life Insurance Company of America | 58083 |
Portland ME 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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| Murphy, Michael J. |
Deephaven MN Allegation: Failure to report other states action. Resolution: Order and Consent to Order and Agreement issued and a monetary penalty assessed. Date of Order/Settlement: 2008-01-09 00:00:00 |
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| Acceptance Insurance Company | 58638 |
Council Bluffs IA Allegation: Capital and surplus in violation of Iowa Code Resolution: Consent signed: Certificate of authority is suspended; company prohibited from writing or accepting new or renewal business; pay $500 costs. Date of Order/Settlement: 2005-06-16 00:00:00 |
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| Halsband, Emily J. |
Clive IA Allegation: Conviction of two class "C" felonies Resolution: Consent signed: Iowa insurance license revoked permanently; barred from reapplying for a securities license in Iowa Date of Order/Settlement: 2004-03-31 00:00:00 |
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| Nelson, Judith |
Tarpon Springs FL Allegation: Unregistered securities Unregistered agent 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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| 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 |
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| Siebring, Gordon |
Albion IA Allegation: Sale of unregistered non exempt securities by an unregistered agent Resolution: Cease and desist the offer or sale of unregistered and non-exempt securities in Iowa Date of Order/Settlement: 2004-05-03 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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| American General Assurance Company | 58945 |
Schaumburg IL Allegation: Failure to respond to Division inquiry Resolution: Consent Signed: Provide a response; $500 Fine $100 Costs Date of Order/Settlement: 2001-11-28 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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| Fritsch, DeAnn | 58734 |
Neola IA Allegation: Misappropriation Resolution: Consent signed: Revocation of Iowa Producer License; permanently barred from reapplying for licensure in the Iowa Date of Order/Settlement: 2003-08-01 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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| Walker, Samuel W. |
Waterloo IA Allegation: Failure to disclose prior criminal convictions on license application Resolution: Order signed: License revoked Date of Order/Settlement: 2004-08-24 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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| Conseco Annuity Assurance Company | 59652 |
Carmel IN Allegation: Failure to respond to IID inquiry Resolution: Consent Signed: Respond to IID: Pay $500 Fine; $100 Costs Date of Order/Settlement: 2002-09-10 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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| 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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| Murphy, Michael S. | 59073 |
Elizabeth City NC Allegation: Violations of Iowa uniform Securities Act: Misrepresentations; Omissions Resolution: Order: Cease and Desist making untrue statements of material facts in the offer or sale of securities; from omitting misleading material facts; assessed $10000 civil penalty. Date of Order/Settlement: 2004-02-12 00:00:00 |
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| Steiber, Danny |
Janesville IA Allegation: Failure to Respond Resolution: Order - License revoked Date of Order/Settlement: 2006-09-22 00:00:00 |
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| 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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| Adam Jr., Jack |
Ankeny IA Allegation: Failed to Notify the Division of Criminal Proceedings. Resolution: Order and Consent to Order monetary penalty assessed. Date of Order/Settlement: 2008-04-02 00:00:00 |
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| Lark, Dershaun A. | 59347 |
Bellevue NE Allegation: Failure to cooperate; failure to notify Division of prior action Resolution: Order signed: License suspended until full response received Date of Order/Settlement: 2003-03-27 00:00:00 |
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| 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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| Bakken, Harlan T. | 58879 |
Waukon IA Allegation: Sale of unregistered securities and/or business opportunities Resolution: Consent signed: 1 yr probation; repay all commissions and/or finders fees of $500; sell only approved insurance products. Date of Order/Settlement: 2003-05-08 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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| Sterling Blackthorn Inc |
Mount Pleasant MI Allegation: Selling/offering unregistered securities in Iowa. Resolution: Order: Cease and desist the offer or sale of unregistered and non exempt securities in Iowa. Date of Order/Settlement: 2004-06-10 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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| 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 |
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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 |