Administrative Orders and Actions

Post date Matter Order Status
06-23-2008 In the Matter of Victoria Automobile Insurance Company Order and Consent to Order Final
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
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
06-12-2008 In the Matter of National Bullion Investors LLC / Eugene McGowan Cease and Desist Order; Order and Consent to Order Final
05-27-2008 In the Matter of Simon J. McDonald Summary Order Denying Application for Securities Agent License Final
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
05-19-2008 In the Matter of Maria Grosvenor Order and Consent to Order Final
05-19-2008 In the Matter of John D. Young Decision Final
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
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
05-15-2008 In the Matter of William J. Davis Order for Suspension Final
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
05-13-2008 In the Matter of Renewable Fuels Inc. Donald James McCrabb David McCrabb and Norman Nicol Order Final
05-11-2008 In the Matter of LuJean Welander Order and Consent to Order Final
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
05-05-2008 In the Matter of Morgan Stanley & Co. Inc. Consent Order Final
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
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
04-30-2008 In the Matter of Aviva USA Order and Consent to Order Final
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
04-24-2008 In the Matter of Douglas J. Veenstra Order and Consent to Order and Agreement Final
04-23-2008 In the Matter of James J. Fyfe Order for Suspension Final
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
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
04-21-2008 In the Matter of Kevin Flaherty Decision Final
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
04-20-2008 In the Matter of Jon W. Keener Order for Suspension Final
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
04-06-2008 In the Matter of Raymond J. Reifenrath III Order Final
04-01-2008 In the Matter of Jack J Adam Jr. Order and Consent to Order Final
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
03-24-2008 In the Matter of Vincent Heese Order and Consent to Order Final
03-23-2008 In the Matter of National Prearranged Services Inc Consent Order Final
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
03-17-2008 In the Matter of Daniel J McFall Order and Consent to Order Final
03-17-2008 McFall Daniel J West Des Moines IA Allegation: Criminal History Resolution: Order and Consent to Order monetary penalty assessed. Date of Order/Settlement: 2008-03-18 00:00:00
03-16-2008 In the Matter of David Grismore Order and Consent to Order Final
03-16-2008 Grismore David Jr. Corydon IA Allegation: Manipulated the insurance producer computer system in order to receive numerous policies for himself without paying. Resolution: Consent Order issued and license revoked. Date of Order/Settlement: 2008-03-17 00:00:00
02-28-2008 In the Matter of Kevin Flaherty Order Final
02-15-2008 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
02-15-2008 Irons Jack Lincoln NE Allegation: Unregistered securities; Unregistered agent; Misrepresentation and Omissions Resolution: Cease and Desist Order issued and monetary penalty assessed. Date of Order/Settlement: 2008-02-15 00:00:00
02-15-2008 Read William Vancouver WA Allegation: Unregistered securities; Unregistered agent; Misrepresentation and Omissions Resolution: Cease and Desist Order issued and monetary penalty assessed. Date of Order/Settlement: 2008-02-15 00:00:00
02-15-2008 Columbia Card Services International LLC F/K/A Columbia International Inc. and Columbia Advanced Wireless Inc. Vancouver WA Allegation: Unregistered securities; Unregistered agent; Misrepresentation and Omissions Resolution: Cease and Desist Order and Monetary penalty assessed. Date of Order/Settlement: 2008-02-15 00:00:00
02-13-2008 American Family Life Insurance Company Madison WI Allegation: Failure to Respond Resolution: Consent Order issued and a monetary penalty assessed. Date of Order/Settlement: 2008-02-13 00:00:00
02-08-2008 In the Matter of Peter C Klamka Order Granting Motion to Dismiss Final
02-07-2008 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
02-07-2008 In the Matter of Gregg Lorenzo and John Thomas Financial Firm

Order and Consent to Order

Final
01-29-2008 In the Matter of Johnathan Ahlf Decision Final
01-29-2008 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
01-29-2008 Ahlf Johnathan Muscatine IA Allegation: Reconsideration of license revocation. Resolution: Decision issued affirming the Divisions decision to deny Ahlfs resident producer license. Date of Order/Settlement: 2008-01-29 00:00:00