Administrative Orders and Actions

Post date Matter Order Status
02-22-2010 In the Matter of Wade Schmudlach Order Denying Application For Insurance Producer License Final
02-19-2010 In the Matter of Michael Blake Order for Suspension Final
02-18-2010 In the Matter of Luke Brenden Order for Suspension Final
02-17-2010 In the Matter of Ronald Diotte Cease and Desist Order Final
02-11-2010 In the Matter of Sherwin Hesebeck Order Approving Application For Insurance Producer License Final
01-27-2010 In the Matter of Bankers Life & Casualty Company Order and Consent to Order Final
01-22-2010 In the Matter of Petition For the Waiver By Agri General Insurance Company Order - Waiver of 191-98.13(8) Final
01-15-2010 In the Matter of Scott Helmer Order of Summary Suspension Order to Cease and Desist and Revocation Final
01-08-2010 In the Matter of Adrienne Stoglin-Boore Order for Suspension Final
12-29-2009 In the Matter of Petition For the Waiver By Annett Holdings Inc. d/b/a TMC Transportation Inc. Order - Waiver of 191-57.3(1) Final
12-16-2009 In the matter of the application of FARM BUREAU MUTUAL INSURANCE COMPANY for approval of a plan to create FARM BUREAU MUTUAL HOLDING COMPANY and FARM BUREAU MULTI-STATE SERVICES INC. and convert FARM BUREAU MUTUAL…into a stock Insurance Company Findings of Fact Conclusions of Law and Order Final
12-10-2009 In the Matter of OM Financial Life Insurance Company Order and Consent to Order Final
12-01-2009 In the Matter of James Opheim Order and Consent to Order Final
11-24-2009 In re the Matter of Floyd Sheridan Order and Consent to Order Final
11-24-2009 In re the application of UNITED FIRE & CASUALTY COMPANY for approval of an Assumption Reinsurance Agreement with TEXAS GENERAL INDEMNITY COMPANY Findings of Fact Conclusions of Law and Order Final
11-18-2009 In re the Matter of Brenda Newcomb Order for Suspension Final
11-16-2009 In the Matter of TD Ameritrade Inc. Administrative Consent Order Final
10-25-2009 In the matter of the Kohls Department Stores Respondent Order and Consent to Order Final
10-25-2009 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
10-04-2009 In the Matter of Shannon Marie Sovia Order for Suspension Final
10-04-2009 In the Matter of Charles D White Order for Suspension Final
10-04-2009 Sovia Shannon Atlantic IA Allegation: Failure to pay state debt. Resolution: Order for Suspension issued. Date of Order/Settlement: 2009-10-05 00:00:00
09-29-2009 In re the Matter of Conseco Life Insurance Company Stipulation and Standstill Agreement Regarding Summary Cease and Desist Order Final
09-28-2009 In the Matter of Daniel William Kemper Default Decision Final
09-28-2009 Kemper Daniel Hallsville MO Allegation: Misleading sales presentations; Misrepresenting the terms of a contract; demonstrating incompetence in the conduct of business; Failing to cooperate with an investigation. Resolution: Default decision issued and license revoked. Date of Order/Settlement: 2009-09-29 00:00:00
09-08-2009 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
09-08-2009 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
09-07-2009 In the Matter of Prosper Marketplace Inc Administrative Consent Order Final
09-03-2009 In the Matter of John D Kouri Order and Consent to Order Final
09-03-2009 Kouri John Urbandale IA Allegation: Forgery Resolution: Consent Order and monetary penalty Date of Order/Settlement: 2009-09-04 00:00:00
09-02-2009 In the Matter of Michael Roling Consent Order Final
08-31-2009 In the Matter of William Lehmann Cease and Desist Order Final
08-27-2009 In the Matter of Merrill Lynch Pierce Fenner & Smith Inc Administrative Consent Order Final
08-27-2009 In the Matter of RBC Capital Markets Corporation Administrative Consent Order Final
08-27-2009 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
08-19-2009 In the Matter of Banc of America Securities LLC and Banc of America Investment Services Inc Administrative Consent Order Final
08-18-2009 In the Matter of Marshall Cemetery Association dba Riverside Cemetery Voluntary Settlement and Consent Order Final
08-18-2009 Marshall Cemetery Association d/b/a Riverside Cemetery Marshalltown IA Allegation: submitted verification that it repaid interest mistakenly withdrawn. Resolution: Voluntary Settlement and Consent Order issued. Date of Order/Settlement: 2009-08-19 00:00:00
08-12-2009 In the Matter of All American Homes of Iowa LLC Order and Consent to Order Final
08-12-2009 In the Matter of Roger D Ball Order and Consent to Order Final
08-12-2009 All American Homes of Iowa LLC Middlebury IN Allegation: Failed to timely file Resolution: Consent Order issued and monetary penalty assessed. Date of Order/Settlement: 2009-08-13 00:00:00
08-12-2009 Ball Roger Blair NE Allegation: Failed to disclose previous administrative actions in his applications to become a non-resident Iowa Insurance producer. Resolution: Consent Order issued and monetary penalty assessed. Date of Order/Settlement: 2009-08-13 00:00:00
08-11-2009 In the Matter of Sherwin Hesebeck Order and Consent to Order Final
08-11-2009 Hesebeck Sherewin Sheldon IA Allegation: Altered insurance policy applications and altered client premium checks. Resolution: Order and Consent to Order issued and monetary penalty assessed. Insurance producer license suspended for 180 days. Date of Order/Settlement: 2009-08-12 00:00:00
08-02-2009 In the Matter of James Healey Order and Consent to Order and Agreement Final
07-30-2009 In the Matter of Stephen Wiley Summary Cease and Desist Order Final
07-30-2009 In the Matter of James H Opheim Order of Summary Suspension Order to Cease and Desist and Revocation Final
07-30-2009 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
07-30-2009 Wiley Stephen St. Louis Missouri Allegation: Unlicensed agent Resolution: Summary Cease and Desist Order issued Date of Order/Settlement: 2009-07-31 00:00:00
07-29-2009 In the Matter of Wachovia Secutities LLC and Wachovia Capital Markets LLC Administrative Consent Order Final