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10-30-2006 |
In the Matter of Nicholas E. Zegarac |
Cease and Desist Order |
Final |
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10-08-2006 |
In the Matter of Chad C. Arey |
Order and Consent to Order |
Final |
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10-08-2006 |
Arey Chad |
Des Moines IA
Allegation: Misrepresentation on license renewal application
Resolution: Order & Consent to Order; paid civil penalty and costs.
Date of Order/Settlement: 2006-10-09 00:00:00 |
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09-21-2006 |
In the Matter of Dan Steiber |
Proposed Findings of Fact Conclusions of Law and Order |
Final |
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09-21-2006 |
Glass Susan |
Mishawaka IN
Allegation: Failure to report administrative action
Resolution: Consent Order - $125 fine and other costs assessed.
Date of Order/Settlement: 2006-09-22 00:00:00 |
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09-21-2006 |
Steiber Danny |
Janesville IA
Allegation: Failure to Respond
Resolution: Order - License revoked
Date of Order/Settlement: 2006-09-22 00:00:00 |
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09-07-2006 |
In the Matter of Bruce E. Nelson |
Decision |
Final |
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09-07-2006 |
Nelson Bruce |
Urbandale IA
Allegation: Challenges the summary order denying securities agent registration.
Resolution: Decision - denial of securities registration upheld.
Date of Order/Settlement: 2006-09-08 00:00:00 |
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08-23-2006 |
In the Matter of Conoco Phillips Company |
Order and Consent to Order |
Final |
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08-19-2006 |
Conocophillips Company |
Houston TX
Allegation: Failure to provide current loss reserves for Iowa
Resolution: Consent Order issued and monetary penalty assessed.
Date of Order/Settlement: 2006-08-20 00:00:00 |
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08-17-2006 |
In the Matter of Lisa Mize |
Order for Default |
Final |
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08-17-2006 |
In the Matter of Jeremy Prchal |
Order for Default |
Final |
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08-17-2006 |
In the Matter of Deborah L. Clark |
Order and Consent to Order and Agreement |
Final |
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08-17-2006 |
Mize Lisa |
Summersville WV
Allegation: Failure to respond.
Resolution: Order - License revoked.
Date of Order/Settlement: 2006-08-18 00:00:00 |
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08-17-2006 |
Webb Nathaniel |
Van Nuys CA
Allegation: Failure to respond.
Resolution: Order - License revoked.
Date of Order/Settlement: 2006-08-18 00:00:00 |
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08-17-2006 |
Bertsch Kristoffer |
Wilmington DE
Allegation: Failure to respond.
Resolution: Order - License revoked.
Date of Order/Settlement: 2006-08-18 00:00:00 |
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08-17-2006 |
Prchal Jeremy |
Omaha NE
Allegation: Failure to respond
Resolution: License revoked.
Date of Order/Settlement: 2006-08-18 00:00:00 |
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08-17-2006 |
Clark Deborah |
Quimby IA
Allegation: Consumer Complaints
Resolution: Order & Consent to Order with a Heightened Supervision Agreement
Date of Order/Settlement: 2006-08-18 00:00:00 |
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08-14-2006 |
In the Matter of Susan K. Glass |
Order and Consent to Order |
Final |
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08-14-2006 |
In the Matter of Wachovia Capital Markets LLC |
Findings of Fact Conclusions of Law Consent Order |
Final |
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08-14-2006 |
Wachovia Capital Market LLC |
Charlotte NC
Allegation: Conflicts of interest between investment banking and equity research department failure to supervise its research analysts failed to maintain and produce in a timely manner certain books and records.
Resolution: Without admitting or denying findings of fact and conclusions of law Wachovia agreed to cease and desist failing to supervise and agreed to pay a civil penalty of $246500.
Date of Order/Settlement: 2006-08-15 00:00:00 |
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08-07-2006 |
In the Matter of Timothy Stabile |
Order and Consent to Order |
Final |
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08-07-2006 |
Stabile Timothy |
Ottumwa IA
Allegation: Stabile improperly withheld misappropriated or converted moneys received in the course of doing business.
Resolution: Order & Consent to Order - permanently barred from reapplying for an insurance producer license in Iowa and also permanently barred from reapplying for a securities agent license in Iowa.
Date of Order/Settlement: 2006-08-08 00:00:00 |
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08-06-2006 |
In the matter of Peter Joseph Bonnell III |
Decision |
Final |
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08-06-2006 |
In the Matter of L. Basheer Hasan |
Order and Consent to Order |
Final |
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08-02-2006 |
In the Matter of Schatz & Associates |
Ruling of the Insurance Commissioner |
Final |
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08-02-2006 |
Hasan L. Basheer |
Des Moines IA
Allegation: Acted as an unregistered securities agent and investment advisor
Resolution: Order Agreement and Consent Order - Cease & Desist
Date of Order/Settlement: 2006-08-03 00:00:00 |
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07-26-2006 |
In the Matter of Steven J. Moore |
Order and Consent to Order |
Final |
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07-26-2006 |
Moore Steven J. |
Maquoketa IA
Allegation: Committing an unfair trade practice making misrepresentation to an insurance company using fraudulent practices by allegedly forging anothers name.
Resolution: Cease & Desist any violation of the Iowa Insurance laws and will surrender Life & Health insurance license and agrees not to reapply for license in future. Also on probation for a period of two years and will pay civil penalty.
Date of Order/Settlement: 2006-07-27 00:00:00 |
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07-24-2006 |
In the Matter of Anthony S. Sorensen |
Order and Consent to Order |
Final |
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07-24-2006 |
Sorensen Anthony |
Coralville IA
Allegation: Committing an unfair trade practice Making a misrepresentation to an insurance company using fraudulant practices by forging anothers name.
Resolution: Cease & Desist any violation of the Iowa Insurance laws and will surrender Life & Health license. This Life & Health license will be suspended for a period of two years from the date of this order
Date of Order/Settlement: 2006-07-25 00:00:00 |
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07-23-2006 |
In the Matter of John L. Ege Jr. |
Order and Consent to Order |
Final |
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07-23-2006 |
Ege John Jr. |
Cherokee IA
Allegation: Failure to report criminal charges
Resolution: Order and Consent to Order civil penalty and costs assessed.
Date of Order/Settlement: 2006-07-24 00:00:00 |
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07-10-2006 |
In the Matter of Bradley W. Johnson |
Order of Suspension |
Final |
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07-10-2006 |
Johnson Bradley |
Davenport IA
Allegation: Failure to comply with Other State Agency - DHS; Non-compliance w/order of Child Support
Resolution: Suspension
Date of Order/Settlement: 2006-07-11 00:00:00 |
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07-09-2006 |
In the Matter of Cedrick Jones |
Amended Order of Suspension |
Final |
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07-09-2006 |
Jones Cedrick |
Davenport IA
Allegation: Failure to comply with Other State Agency - DHS; Non-compliance w/order of Child Support
Resolution: Suspension
Date of Order/Settlement: 2006-07-10 00:00:00 |
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06-19-2006 |
In the Matter of Phoukam Baccam |
Order for Default |
Final |
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06-19-2006 |
Baccam Phoukham |
Des Moines IA
Allegation: Failure to respond
Resolution: License suspended.
Date of Order/Settlement: 2006-06-20 00:00:00 |
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05-25-2006 |
Brean Murray Carret & Company LLC |
New York NY
Allegation: Failure to file audited financial report.
Resolution: Broker dealer license is suspended; civil penalty $1000; suspension lifted when compliance is complete.
Date of Order/Settlement: 2006-05-26 00:00:00 |
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04-27-2006 |
In the Matter of Eric S. Beck |
Order for Suspension of Licese |
Final |
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04-27-2006 |
Beck Eric |
Urbandale IA
Allegation: Failure to respond to investigation
Resolution: Order for Suspension of license
Date of Order/Settlement: 2006-04-28 00:00:00 |
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04-23-2006 |
In the Matter of Schatz & Associates |
Proposed Findings of Facts Conclusions of Law and Order |
Final |
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04-23-2006 |
In the Matter of Curtis Froyen |
Proposed Findings of Facts Conclusions of Law and Order |
Final |
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03-30-2006 |
In the Matter of Sheri M. Gamel |
Order and Consent to Order |
Final |
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03-28-2006 |
Gamel Sheri M. |
Colorado Springs CO
Allegation: Failure to notify the Division of administrative action from other state.
Resolution: Order and Consent to Order
Date of Order/Settlement: 2006-03-28 00:00:00 |
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03-24-2006 |
In the Matter of William James Davis Midwest Financial Consultants |
Proposed Findings of Facts Conclusions of Law and Order |
Final |
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03-22-2006 |
In the Matter of Larry Flowers |
Proposed Findings of Facts Conclusions of Law and Order |
Final |
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03-22-2006 |
Flowers Larry W |
Gainsville GA
Allegation: Failure to notify Division of prior actions; Failure to cooperate with investigation.
Resolution: License revoked.
Date of Order/Settlement: 2006-03-22 00:00:00 |
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02-23-2006 |
In the Matter of Terrence Seawright |
Proposed Findings of Facts Conclusions of Law and Order |
Final |