| Date Posted |
Matter |
Order |
Status |
| 10/26/2009 |
In the matter of the Kohl's Department Stores, Respondent |
Order and Consent to Order |
Final |
| 10/26/2009 |
In re the application of CENTRAL UNITED LIFE INSURANCE COMPANY for approval of an Assumption Reinsurance Agreement with EMC NATIONAL LIFE COMPANY |
Findings of Fact, Conclusions of Law and Order |
Final |
| 10/5/2009 |
In the Matter of Charles D White |
Order for Suspension |
Final |
| 10/5/2009 |
In the Matter of Shannon Marie Sovia |
Order for Suspension |
Final |
| 9/29/2009 |
In the Matter of Daniel William Kemper |
Default Decision |
Final |
| 9/9/2009 |
In re the application of AMERICAN INVESTORS LIFE INSURANCE COMPANY, INC for Approval of a Plan of Merger with AVIVA LIFE AND ANNUITY COMPANY |
Findings of Fact, Conclusions of Law and Order |
Final |
| 9/9/2009 |
In re the application of NIPPON LIFE INSURANCE COMPANY OF AMERICA for approval of an Assumption Agreement with MADISON NATIONAL LIFE INSURANCE COMPANY |
Findings of Fact, Conclusions of Law and Order |
Final |
| 9/8/2009 |
In the Matter of Prosper Marketplace, Inc |
Administrative Consent Order |
Final |
| 9/4/2009 |
In the Matter of John D Kouri |
Order and Consent to Order |
Final |
| 9/3/2009 |
In the Matter of Michael Roling |
Consent Order |
Final |
| 9/1/2009 |
In the Matter of William Lehmann |
Cease and Desist Order |
Pending |
| 8/28/2009 |
In the Matter of Merrill Lynch, Pierce, Fenner & Smith Inc |
Administrative Consent Order |
Final |
| 8/28/2009 |
In the Matter of RBC Capital Markets Corporation |
Administrative Consent Order |
Final |
| 8/28/2009 |
In the Matter of application of GPFT HOLDCO, LLC, GUGGENHEIM CAPITAL, LLC, and CHARLES A. SAMMONS 1987 CHARITABLE REMAINDER TRUST 2 for approval of a plan to acquire control of WELLMARK COMMUNITY INSURANCE, INC. |
Findings of Fact, Conclusions of Law and Order |
Final |
| 8/20/2009 |
In the Matter of Banc of America Securities LLC and Banc of America Investment Services, Inc |
Administrative Consent Order |
Final |
| 8/19/2009 |
In the Matter of Marshall Cemetery Association dba Riverside Cemetery |
Voluntary Settlement and Consent Order |
Final |
| 8/13/2009 |
In the Matter of Roger D Ball |
Order and Consent to Order |
Final |
| 8/13/2009 |
In the Matter of All American Homes of Iowa, LLC |
Order and Consent to Order |
Final |
| 8/12/2009 |
In the Matter of Sherwin Hesebeck |
Order and Consent to Order |
Final |
| 8/3/2009 |
In the Matter of James Healey |
Order and Consent to Order and Agreement |
Final |
| 7/31/2009 |
In the Matter of James H Opheim |
Order of Summary Suspension, Order to Cease and Desist and Revocation |
Pending |
| 7/31/2009 |
In the Matter of Stephen Wiley |
Summary Cease and Desist Order |
Final |
| 7/30/2009 |
In the Matter of Wachovia Secutities, LLC, and Wachovia Capital Markets, LLC |
Administrative Consent Order |
Final |
| 7/30/2009 |
In the Matter of Conseco Life Insurance Company |
Stipulation Further Extending Standstill Agreement Regarding Summary Cease and Desist Order |
Pending |
| 7/21/2009 |
In the Matter of Justin L Fox |
Lift of License Suspension and Eligibility for Licensure in State of Iowa |
Final |
| 7/21/2009 |
In the Matter of Elizabeth J Anderson |
Amendment to Order and Consent to Order |
Final |
| 7/20/2009 |
In the Matter of Citigroup Global Markets Inc |
Administrative Consent Order |
Final |
| 7/10/2009 |
In the Matter of Michael Bark |
Cease and Desist order |
Final |
| 7/9/2009 |
In the Matter of Jerald Lee Woods |
Default Order |
Final |
| 7/9/2009 |
In the Matter of Jeannie Marie McNeal |
Order for Suspension |
Final |
| 7/8/2009 |
In the Matter of Travis Wilcox |
Proposed Decision |
Final |
| 6/25/2009 |
In re the application of CGC LIFE INSURANCE COMPANY for approval of a Plan of Merger with TRANSAMERICA PACIFIC INSURANCE COMPANY, LTD |
Findings of Fact, Conclusions of Law and Order (Iowa Code §521.8) |
Final |
| 6/18/2009 |
In the Matter of Kristina L Hammes |
Order for Suspension |
Final |
| 6/18/2009 |
In the Matter of Eric M Parks |
Order for Suspension |
Final |
| 5/22/2009 |
In the Matter of Judith Pierce |
Order and Consent to Order |
Final |
| 5/12/2009 |
In the Matter of Michael Cross |
Proposed Decision |
Final |
| 5/8/2009 |
In the Matter of Guttenberg Municipal Hospital |
Proposed Decision |
Pending |
| 5/4/2009 |
In re the application of NIPPON LIFE LIFE INSURANCE COMPANY OF AMERICA for approval of an Assumption Agreement with COMPANION LIFE INSURANCE COMPANY |
Findings of Fact, Conclusions of Law and Order |
Final |
| 5/3/2009 |
In the Matter of Roy Bliek |
Order and Consent to Order |
Final |
| 5/3/2009 |
In the Matter of Jan Bliek |
Order and Consent to Order |
Final |
| 4/30/2009 |
In the Matter of David Wells Knall |
Summary Cease and Desist Order (VACATED 6/15/09) |
Vacated |
| 4/21/2009 |
In the Matter of Javabucks, Inc., Palm Beach Specialty Coffee LLC, John A Gravante, Joseph P Kelly III |
Cease and Desist Order and Subpoena & Proposed Decision |
Pending |
| 4/16/2009 |
In the Matter of Physicians Life Insurance Company |
Decision |
Pending |
| 4/16/2009 |
In the Matter of Michael Rosen |
Order Vacating Denial of Securities Agent License |
Final |
| 4/16/2009 |
In the Matter of Jack D Seibald |
Order Vacating Denial of Securities Agent License |
Final |
| 4/10/2009 |
In the Matter of Bobbi J. Stasney |
Order and Summary Suspension and Order to Cease and Desist |
Final |
| 4/10/2009 |
In the Matter of Jerald Lee Woods |
Cease and Desist Order |
Final |
| 4/3/2009 |
In the Matter of James J. Healey |
Cease and Desist Order |
Final |
| 4/1/2009 |
In the Matter of Michael Hinton |
Proposed Decision |
Final |
| 3/30/2009 |
In the Matter of Conseco Life Insurance Company |
Stipulation and Standstill Agreement Regarding Summary Cease and Desist Order |
Pending |
| 3/23/2009 |
In the Matter of Farmers Insurance Company |
Order and Consent to Order |
Final |
| 3/19/2009 |
In the Matter of Balboa Insurance Company |
Order and Consent to Order |
Final |
| 3/16/2009 |
In the Matter of Viking Insurance Company of Wisconsin |
Order and Consent to Order |
Final |
| 3/9/2009 |
In the Matter of Travis M Wilcox |
Order and Consent to Order |
Final |
| 3/3/2009 |
In the Matter of Derek Black |
Summary Cease and Desist Order |
Final |
| 2/10/2009 |
In the Matter of Mark Cillo |
Summary Cease and Desist Order (VACATED 5-27-09) |
Vacated |
| 2/9/2009 10:33:52 AM |
In the Matter of Joseph Michael Scarborough |
Summary Order Denying Application for Securities Agent License |
Final |
| 2/6/2009 3:30:09 PM |
In the Matter of Jack D Seibald |
Summary Order Denying Application for Securities Agent License |
Final |
| 2/6/2009 |
In the Matter of Michael Scott Rosen |
Summary Order Denying Application for Securities Agent License |
Final |
| 2/5/2009 |
In re Chubb Corporation et al |
Multi-State Regulatory Agreement |
Final |
| 2/5/2009 |
In the Matter of Joann Moffit |
Order |
Final |
| 1/21/2009 |
In the Matter of Mark Geertsma |
Consent Order |
Final |
| 1/20/2009 |
In the Matter of Trenwick America Reinsurance Corporation |
Order and Consent to Order |
Final |
| 1/16/2009 |
In the Matter of Bruce Bergen |
Decision |
Final |
| 1/5/2009 |
In the Matter of Jeananne M Robins |
Order for Suspension |
Final |
| 1/5/2009 |
In the Matter of Larry Lubarsky |
Summary Order Denying Application for Securities Agent License |
Final |
| 12/31/2008 |
In re the application of FARMERS MUTUAL INSURANCE ASSOCIATION for approval of a Plan of Merger with BUCHANAN MUTUAL INSURANCE ASSOCIATION |
Findings of Fact, Conclusions of Law and Order |
Final |
| 12/31/2008 |
In re the application of TOYOTA MOTOR INSURANCE COMPANY for approval of a Novation and Assumption Agreement with SENTRUITY CASUALTY COMPANY |
Findings of Fact, Conclusions of Law and Order |
Final |
| 12/31/2008 |
In the Matter of Trent D. Whitinger |
Order and Consent to Order |
Final |
| 12/18/2008 |
In the Matter of Conseco Life Insurance Company |
Stipulation and Standstill Agreement Regarding Summary Cease and Desist Order |
Final |
| 12/9/2008 |
In the Matter of Conseco Life Insurance Company |
Cease and Desist |
Pending |
| 12/9/2008 |
In the Matter of Michael Hinton |
Order and Consent to Order |
Final |
| 11/20/2008 |
In the Matter of Kensington Resources, Inc |
Cease and Desist Order and Subpoena |
Final |
| 11/10/2008 |
In the Matter of Church Life Insurance Corporation |
Order and Consent to Order |
Final |
| 10/27/2008 |
In the Matter of Nevadacare, Inc. D/B/A Iowa Health Solutions |
Order and Consent to Order and Agreement |
Final |
| 10/20/2008 |
In the Matter of Samuel Hermawan |
Decision |
Final |
| 9/29/2008 |
In the matter of the application of AVIVA LIFE AND ANNUITY COMPANY for approval of an "Agreement and Plan of Merger" with AVIVA LIFE INSURANCE COMPANY |
Findings of Fact, Conclusions of Law and Order |
Final |
| 9/29/2008 |
In the matter of the application of AVIVA LIFE AND ANNUITY COMPANY for approval of an "Agreement and Plan of Merger" with INDIANAPOLIS LIFE INSURANCE COMPANY |
Findings of Fact, Conclusions of Law and Order |
Final |
| 9/29/2008 |
In the Matter of Dennis A. Davis |
Order and Consent to Order |
Final |
| 9/26/2008 |
In the Matter of Steven Svoboda |
Order of Summary Revocation |
Final |
| 9/25/2008 |
In the Matter of John Vedovino |
Order and Consent to Order |
Final |
| 9/12/2008 |
In the Matter of John J. Conroy |
Summary Order Denying Application for Securities Agent License |
Final |
| 9/12/2008 |
In re the application of TRANSAMERICA LIFE INSURANCE COMPANY for approval of an "Agreement of Assumption" with CENTRAL BENEFITS MUTUAL INSURANCE COMPANY and affiliate CENTRAL BENEFITS NATIONAL LIFE INSURANCE COMPANY |
Findings of Fact, Conclusions of Law and Order |
Final |
| 9/10/2008 |
In re the application of TRANSAMERICA LIFE INSURANCE COMPANY for approval of an Assumption Reinsurance Agreement with MONUMENTAL LIFE INSURANCE COMPANY |
Findings of Fact, Conclusions of Law and Order |
Final |
| 9/10/2008 |
In re the application of MONUMENTAL LIFE INSURANCE COMPANY for approval of an Assumption Reinsurance Agreement with UNION LABOR LIFE INSURANCE COMPANY |
Findings of Fact, Conclusions of Law and Order |
Final |
| 8/29/2008 |
In the Matter of Anthony Clem |
Order and Consent to Order |
Final |
| 8/25/2008 |
In the Matter of Kevin Brennan |
Summary Order Denying Application For Securities Agent License |
Final |
| 8/15/2008 |
In the Matter of Kevin Brennan |
Summary Order Denying Application For Securities Agent License |
Final |
| 8/11/2008 |
In the Matter of Peter E Miover |
Order Affirming Proposed Decision and Denying Licensure |
Final |
| 8/7/2008 |
In the Matter of Whirlpool Corporation |
Order and Consent to Order |
Final |
| 8/4/2008 |
In the Matter of Drew Barns |
Order and Consent to Order |
Final |
| 7/29/2008 |
In the Matter of The Delaware Group |
Order and Consent to Order |
Final |
| 7/28/2008 |
In the Matter of Jason Schumacher and Behr Funeral Home |
Order and Consent to Order |
Final |
| 7/21/2008 |
In the Matter of Charles H. Stoner |
Order and Consent to Order |
Final |
| 7/16/2008 |
In the Matter of Foremost Insurance Company |
Order and Consent to Order |
Final |
| 7/15/2008 |
In the Matter of the Market Conduct Exam of The Mega Life & Health Ins Co, Mid-West Nat'l Life Ins Co of TN, and The Chesapeake Life Ins Co Regulatory Settlement Agreement |
Multi-State Regulatory Agreement |
Final |
| 7/9/2008 |
In the Matter of Nathan J. McGraw |
Order and Consent to Order |
Final |
| 7/8/2008 |
In re the application of TRANSAMERICA LIFE INSURANCE COMPANY for approval of an "Agreement and Plan of Merger" with LIFE INVESTORS INSURANCE COMPANY OF AMERICA |
Findings of Fact, Conclusions of Law and Order |
Final |
| 7/8/2008 |
In re the application of TRANSAMERICA LIFE INSURANCE COMPANY for approval of an "Agreement and Plan of Merger" with TRANSAMERICA OCCIDENTAL LIFE INSURANCE COMPANY |
Findings of Fact, Conclusions of Law and Order |
Final |
| 6/30/2008 |
In the Matter of Hawkeye Life Insurance Group, Inc |
Order and Consent to Order |
Final |
| 6/24/2008 |
In the Matter of Victoria Automobile Insurance Company |
Order and Consent to Order |
Final |
| 6/13/2008 |
In the Matter of National Bullion Investors, LLC / Eugene McGowan |
Cease and Desist Order; Order and Consent to Order |
Final |
| 5/28/2008 |
In the Matter of Simon J. McDonald |
Summary Order Denying Application for Securities Agent License |
Final |
| 5/20/2008 |
In the Matter of Maria Grosvenor |
Order and Consent to Order |
Final |
| 5/20/2008 |
In the Matter of John D. Young |
Decision |
Final |
| 5/16/2008 |
In the Matter of William J. Davis |
Order for Suspension |
Final |
| 5/14/2008 |
In the Matter of Renewable Fuels, Inc., Donald James McCrabb, David McCrabb and Norman Nicol |
Order |
Final |
| 5/12/2008 |
In the Matter of LuJean Welander |
Order and Consent to Order |
Final |
| 5/6/2008 |
In the Matter of Morgan Stanley & Co. Inc. |
Consent Order |
Final |
| 5/1/2008 |
In the Matter of Aviva USA |
Order and Consent to Order |
Final |
| 4/25/2008 |
In the Matter of Douglas J. Veenstra |
Order and Consent to Order and Agreement |
Final |
| 4/24/2008 |
In the Matter of James J. Fyfe |
Order for Suspension |
Final |
| 4/22/2008 |
In the Matter of Kevin Flaherty |
Decision |
Final |
| 4/21/2008 |
In the Matter of Jon W. Keener |
Order for Suspension |
Final |
| 4/7/2008 |
In the Matter of Raymond J. Reifenrath III |
Order |
Final |
| 4/2/2008 |
In the Matter of Jack J Adam, Jr. |
Order and Consent to Order |
Final |
| 3/25/2008 |
In the Matter of Vincent Heese |
Order and Consent to Order |
Final |
| 3/24/2008 |
In the Matter of National Prearranged Services, Inc |
Consent Order |
Final |
| 3/18/2008 |
In the Matter of Daniel J McFall |
Order and Consent to Order |
Final |
| 3/17/2008 |
In the Matter of David Grismore |
Order and Consent to Order |
Final |
| 2/28/2008 |
In the Matter of Kevin Flaherty |
Order |
Final |
| 2/15/2008 |
In the Matter of Columbia Card Svcs International, LLC F/K/A Columbia International, Inc. and Columbia Advanced Wireless, Inc, Corporate Solustion, LLC, William V. Read, Jack G. Irons |
Cease and Desist Order |
Final |
| 2/8/2008 |
In the Matter of Peter C Klamka |
Order Granting Motion to Dismiss |
Final |
| 2/7/2008 |
In the Matter of BARRON TRADING GROUP, INC., GLOBAL ASSET MANAGEMENT, INC., CHRISTOPHER R. HELD |
Order and Consent to Order and Agreement; Cease and Desist Order |
Final |
| 2/7/2008 |
In the Matter of Gregg Lorenzo and John Thomas Financial Firm |
Order and Consent to Order |
Final |
| 1/29/2008 |
In the Matter of Johnathan Ahlf |
Decision |
Final |
| 1/29/2008 |
In the Matter of Richard D. Martin |
Order and Consent to Order; Order Vacating Denial of Securities Agent License; Order Denying Securities Agent License |
Final |
| 1/18/2008 |
In the Matter of Ralph R Johnson, Jr. |
Summary Order Denying Application for Sales Agent License |
Final |
| 1/16/2008 |
In the Matter of Maytag Corporation |
Order and Consent to Order |
Final |
| 1/11/2008 |
In the matter of application of GREGORY M. SHEPARD for disclaimer of control relating to DONEGAL GROUP, INC. ultimate controlling party of LE MARS INSURANCE COMPANY |
Notice of Public Hearing and Order |
Final |
| 1/9/2008 |
In the Matter of Michael J. Murphy |
Order and Consent to Order and Agreement |
Final |
| 1/3/2008 |
In the Matter of the Certificate of Authority of MARQUETTE NATIONAL LIFE INSURANCE COMPANY |
Order Releasing Suspension |
Final |
| 12/31/2007 |
In the Matter of Curtis M. Allen |
Order and Consent to Order and Agreement |
Final |
| 12/31/2007 |
In the Matter of Douglas Arthur Carley |
Order and Consent to Order |
Final |
| 12/30/2007 |
In the Matter of Maryo D. Lindsey |
Order for Suspension |
Final |
| 12/26/2007 |
In re the application of NATIONAL INDEMNITY COMPANY OF MID-AMERICA for approval of an Agreement and Plan of Merger with THE PENNSYLVANIA REINSURANCE COMPANY |
Findings of Fact, Conclusions of Law and Order |
Final |
| 12/20/2007 |
In the Matter of John Behn |
Order and Consent to Order |
Final |
| 12/10/2007 |
In re the application of HAWKEYE MUTUAL INSURANCE ASSOCIATION for approval of an Assumption and Reinsurance Agreement with PATRONS MUTUAL INSURANCE ASSOCIATION |
Findings of Fact, Conclusions of Law and Order |
Final |
