Administrative Orders and Actions

Post date Matter Order Status
03-08-2009 Wilcox Travis Ankeny IA Allegation: Demonstrated incompetence untrustworthiness or financial irresponsibility in the course of conducting business. Resolution: Consent Order issued and monetary penalty assessed. Date of Order/Settlement: 2009-03-09 00:00:00
03-04-2009 Joann M. Moffitt 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
03-03-2009 In the Matter of Derek Black Summary Cease and Desist Order Final
03-03-2009 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
02-10-2009 In the Matter of Mark Cillo Summary Cease and Desist Order (VACATED 5-27-09) Vacated
02-10-2009 Cillo Mark Saint Louis MO Allegation: Violated Iowa Insurance Trade Practices Act Resolution: Summary Cease and Desist Order. Date of Order/Settlement: 2009-02-10 00:00:00
02-09-2009 In the Matter of Joseph Michael Scarborough Summary Order Denying Application for Securities Agent License Final
02-06-2009 In the Matter of Jack D Seibald Summary Order Denying Application for Securities Agent License Final
02-06-2009 In the Matter of Michael Scott Rosen Summary Order Denying Application for Securities Agent License Final
02-06-2009 Seibald Jack Hewlett Harbor NY Allegation: Prior regulatory action Resolution: Summary Order Denying Application for Securities Agent License. Date of Order/Settlement: 2009-02-06 00:00:00
02-06-2009 Rosen Michael Scarsdale NY Allegation: Prior regulatory action Resolution: Summary Order Denying Application for Securities Agent License. Date of Order/Settlement: 2009-02-06 00:00:00
02-05-2009 In re Chubb Corporation et al Multi-State Regulatory Agreement Final
02-05-2009 In the Matter of Joann Moffit Order Final
01-23-2009 Trenwick American Reinsurance Corporation Fairfield CT Allegation: Failure to respond Resolution: Consent issued and monetary penalty assessed. Date of Order/Settlement: 2009-01-23 00:00:00
01-21-2009 In the Matter of Mark Geertsma Consent Order Final
01-21-2009 Geertsma Mark Independence IA Allegation: Engaged in dishonest and unethical practices in the securities and investment business. Resolution: Consent Order issued and monetary penalty assessed. Date of Order/Settlement: 2009-01-21 00:00:00
01-20-2009 In the Matter of Trenwick America Reinsurance Corporation Order and Consent to Order Final
01-16-2009 In the Matter of Bruce Bergen Decision Final
01-16-2009 Bergen Bruce Marion IA Allegation: Failure to Respond to Division Inquiries Resolution: Decision issued and a monetary penalty assessed. Date of Order/Settlement: 2009-01-16 00:00:00
01-14-2009 Scarborough Joseph Michael Prince Frederick MD Allegation: Prior regulatory action Resolution: Summary Order Denying Application for Securities Agent License. Date of Order/Settlement: 2009-01-14 00:00:00
01-05-2009 In the Matter of Jeananne M Robins Order for Suspension Final
01-05-2009 In the Matter of Larry Lubarsky Summary Order Denying Application for Securities Agent License Final
01-05-2009 Robins Jeananne Clemmons IA Allegation: Child support violation. Resolution: Order for Suspension issued. Date of Order/Settlement: 2009-01-05 00:00:00
01-05-2009 Lubarsky Larry Brooklyn NY Allegation: Prior regulatory action Resolution: Summary Order Denying Application for Securities Agent License. Date of Order/Settlement: 2009-01-05 00:00:00
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
12-30-2008 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
12-18-2008 In the Matter of Conseco Life Insurance Company Stipulation and Standstill Agreement Regarding Summary Cease and Desist Order Final
12-09-2008 In the Matter of Conseco Life Insurance Company Cease and Desist Final
12-09-2008 In the Matter of Michael Hinton Order and Consent to Order Final
12-09-2008 HintonMichael Bettendorf IA Allegation: Failure to Respond Resolution: Consent Order issued and monetary penalty assessed. Date of Order/Settlement: 2008-12-09 00:00:00
11-20-2008 In the Matter of Kensington Resources Inc Cease and Desist Order and Subpoena Final
11-20-2008 Kensington Resources Inc. Costa Mesa CA Allegation: Unregistered securities Resolution: Cease & Desist Order issued and a monetary penalty assessed. Date of Order/Settlement: 2008-11-20 00:00:00
11-10-2008 In the Matter of Church Life Insurance Corporation Order and Consent to Order Final
11-10-2008 Church Life Insurance New York NY Allegation: Violation of Iowa Unauthorized Insurers Act. Resolution: Consent issued and monetary penalty assessed. Date of Order/Settlement: 2008-11-10 00:00:00
10-30-2008 NevadaCare Inc d/b/a Iowa Health Solutions Inc. Las Vegas NV Allegation: Failure or refusal to submit to a peer review; Fail to file or properly complete an application foe renewal of cert of authority; Fail to file or complete a premium tax return Resolution: Order and Consent to Order issued. NevadaCare will voluntarily withdraw its registration and not transact or solicit business in the state for a period of 5 years. Date of Order/Settlement: 2008-10-31 00:00:00
10-26-2008 In the Matter of Nevadacare Inc. D/B/A Iowa Health Solutions Order and Consent to Order and Agreement Final
10-19-2008 In the Matter of Samuel Hermawan Decision Final
10-16-2008 Hermawan Samuel Des Moines IA Allegation: Misappropriating monies; Using fraudulent coercive or dishonest practices; Demonstrating incompetence untrustworthiness or financial irresponsibility. Resolution: Decision issued and monetary penalty assessed. Date of Order/Settlement: 2008-10-17 00:00:00
09-28-2008 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
09-28-2008 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
09-28-2008 In the Matter of Dennis A. Davis Order and Consent to Order Final
09-25-2008 In the Matter of Steven Svoboda Order of Summary Revocation Final
09-25-2008 Svoboda Steven Washington IA Allegation: Accepted money from clients that was intended for investment or savings purposes and converted those client funds for personal use. Resolution: Order of Summary Revocation Date of Order/Settlement: 2008-09-26 00:00:00
09-24-2008 In the Matter of John Vedovino Order and Consent to Order Final
09-24-2008 Vedovino John Pompton Plains NJ Allegation: Violation of NYSE rules Resolution: Consent Order issued and suspension of securities license that shall run concurrent to the NYSE suspension. Date of Order/Settlement: 2008-09-25 00:00:00
09-11-2008 In the Matter of John J. Conroy Summary Order Denying Application for Securities Agent License Final
09-11-2008 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
09-11-2008 Conroy John East Norwich NY Allegation: Prior regulatory action taken. Resolution: Summary Order Denying Application for Securities Agent License. Date of Order/Settlement: 2008-09-12 00:00:00