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08-04-2008 |
Barns Drew |
Bloomington MN
Allegation: Used fraudulent coercive or dishonest practices or demonstrated incompetence untrustworthiness or financial irresponsibility in the conduct of business.
Resolution: Consent Order issued and insurance producer license revoked.
Date of Order/Settlement: 2008-08-05 00:00:00 |
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08-03-2008 |
In the Matter of Drew Barns |
Order and Consent to Order |
Final |
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07-28-2008 |
In the Matter of The Delaware Group |
Order and Consent to Order |
Final |
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07-28-2008 |
Delaware Group (The) |
Allegation: Failed to timely file renewal notice fillings
Resolution: Consent Order issued and monetary penalty assessed.
Date of Order/Settlement: 2008-07-29 00:00:00 |
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07-27-2008 |
In the Matter of Jason Schumacher and Behr Funeral Home |
Order and Consent to Order |
Final |
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07-20-2008 |
In the Matter of Charles H. Stoner |
Order and Consent to Order |
Final |
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07-20-2008 |
Stoner Charles |
Omaha NE
Allegation: sold insurance polices for a company not licensed to do business in Iowa.
Resolution: Consent Order issued and license revoked.
Date of Order/Settlement: 2008-07-21 00:00:00 |
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07-15-2008 |
In the Matter of Foremost Insurance Company |
Order and Consent to Order |
Final |
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07-15-2008 |
Foremost Insurance |
Caledonia MI
Allegation: Allowed non-appointed producers to submit business.
Resolution: Consent Order issued and assessed a monetary penalty.
Date of Order/Settlement: 2008-07-16 00:00:00 |
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07-14-2008 |
In the Matter of the Market Conduct Exam of The Mega Life & Health Ins Co Mid-West Natl Life Ins Co of TN and The Chesapeake Life Ins Co Regulatory Settlement Agreement |
Multi-State Regulatory Agreement |
Final |
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07-08-2008 |
In the Matter of Nathan J. McGraw |
Order and Consent to Order |
Final |
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07-08-2008 |
McGraw Nathan |
Des Moines IA
Allegation: Failure to make required disclosure on insurance producer application.
Resolution: Consent Order issued; granted probationary license.
Date of Order/Settlement: 2008-07-09 00:00:00 |
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07-07-2008 |
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 |
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07-07-2008 |
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 |
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07-01-2008 |
Hawkeye Life Insurance Group |
West Des Moines IA
Allegation: Failure to timely file annual audited reports.
Resolution: Consent Order issued and assessed a monetary penalty.
Date of Order/Settlement: 2008-07-02 00:00:00 |
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06-29-2008 |
In the Matter of Hawkeye Life Insurance Group Inc |
Order and Consent to Order |
Final |
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06-23-2008 |
In the Matter of Victoria Automobile Insurance Company |
Order and Consent to Order |
Final |
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06-23-2008 |
Victoria Automobile Insurance Company |
Cleveland OH
Allegation: Failure to respond
Resolution: Consent Order issued and penalty assessed
Date of Order/Settlement: 2008-06-24 00:00:00 |
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06-18-2008 |
National Bullion Investors LLC |
New York NY
Allegation: unlawful commodity transaction in Iowa
Resolution: Consent Order issued.
Date of Order/Settlement: 2008-06-19 00:00:00 |
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06-12-2008 |
In the Matter of National Bullion Investors LLC / Eugene McGowan |
Cease and Desist Order; Order and Consent to Order |
Final |
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05-27-2008 |
In the Matter of Simon J. McDonald |
Summary Order Denying Application for Securities Agent License |
Final |
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05-27-2008 |
McDonald Simon |
Milford CT
Allegation: Criminal History.
Resolution: Summary Order Denying Application for Securities Agent License.
Date of Order/Settlement: 2008-05-28 00:00:00 |
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05-19-2008 |
In the Matter of Maria Grosvenor |
Order and Consent to Order |
Final |
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05-19-2008 |
In the Matter of John D. Young |
Decision |
Final |
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05-19-2008 |
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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05-19-2008 |
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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05-15-2008 |
In the Matter of William J. Davis |
Order for Suspension |
Final |
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05-15-2008 |
Davis William J. |
Spirit Lake IA
Allegation: Child Support Violation
Resolution: Order for Suspension issued.
Date of Order/Settlement: 2008-05-16 00:00:00 |
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05-13-2008 |
In the Matter of Renewable Fuels Inc. Donald James McCrabb David McCrabb and Norman Nicol |
Order |
Final |
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05-11-2008 |
In the Matter of LuJean Welander |
Order and Consent to Order |
Final |
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05-11-2008 |
Welander LuJean Ann |
Mason City IA
Allegation: Provided incorrect information on her application for an Iowa Preneed Sales Agent License and on her application for an Iowa Insurance Producer License.
Resolution: Consent Order issued and was ordered to accurately answer all questions on applications and was granted a license to be a Preneed Sales Agent and an Iowa Insurance Producer.
Date of Order/Settlement: 2008-05-12 00:00:00 |
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05-05-2008 |
In the Matter of Morgan Stanley & Co. Inc. |
Consent Order |
Final |
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05-05-2008 |
Morgan Stanley & Co. Incorporated |
New York NY
Allegation: Sale of Unregistered Securities
Resolution: Findings of Fact Conclusions of Law Consent Order issued and a monetary penalty assessed.
Date of Order/Settlement: 2008-05-06 00:00:00 |
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05-01-2008 |
Veenstra Douglas |
Tracy IA
Allegation: Appointment termination.
Resolution: Consent Order issued; heightened supervision and probation for 1 year and a monetary penalty assessed.
Date of Order/Settlement: 2008-05-02 00:00:00 |
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04-30-2008 |
In the Matter of Aviva USA |
Order and Consent to Order |
Final |
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04-30-2008 |
AVIVA USA |
Des Moines IA
Allegation: allow unauthorized withdrawals from annuity trust.
Resolution: Consent Order issued.
Date of Order/Settlement: 2008-05-01 00:00:00 |
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04-24-2008 |
In the Matter of Douglas J. Veenstra |
Order and Consent to Order and Agreement |
Final |
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04-23-2008 |
In the Matter of James J. Fyfe |
Order for Suspension |
Final |
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04-23-2008 |
Fyfe James J. |
Bettendorf IA
Allegation: Child Support Violation
Resolution: Order for Suspension issued
Date of Order/Settlement: 2008-04-24 00:00:00 |
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04-22-2008 |
National Union Fire Insurance Company of Pittsburgh PA. AIG Domestic Claims Inc. |
New York NY
Allegation: Violation of Claims - Prompt payment of claims.
Resolution: Consent Order issued; penalty assessed and ordered to pay 10% interest to insured for period beginning June 24 2007 thru October 11 2007.
Date of Order/Settlement: 2008-04-23 00:00:00 |
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04-21-2008 |
In the Matter of Kevin Flaherty |
Decision |
Final |
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04-21-2008 |
Flaherty Kevin |
Oskaloosa IA
Allegation: Failure to respond to Division and Failure to notify Division of address change.
Resolution: Decision issued revoking producer license and assessed a monetary penalty.
Date of Order/Settlement: 2008-04-22 00:00:00 |
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04-20-2008 |
In the Matter of Jon W. Keener |
Order for Suspension |
Final |
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04-20-2008 |
Keener Jon W. |
LeClaire IA
Allegation: Child Supoort Violation
Resolution: Order for Suspension issued.
Date of Order/Settlement: 2008-04-21 00:00:00 |
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04-06-2008 |
In the Matter of Raymond J. Reifenrath III |
Order |
Final |
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04-01-2008 |
In the Matter of Jack J Adam Jr. |
Order and Consent to Order |
Final |
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04-01-2008 |
Adam Jack Jr. |
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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03-24-2008 |
In the Matter of Vincent Heese |
Order and Consent to Order |
Final |
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03-23-2008 |
In the Matter of National Prearranged Services Inc |
Consent Order |
Final |
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03-23-2008 |
National Prearranged Services Inc. |
St. Louis MO
Allegation: Insolvency
Resolution: Consent Order issued and preneed seller license is suspended.
Date of Order/Settlement: 2008-03-24 00:00:00 |
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