| Post date | Matter | Order | Status |
|---|---|---|---|
| 09-11-2005 | Northrop Kenneth | Floyd IA Allegation: Named as a beneficiary on a policy of an unrelated policyholder Resolution: Consent: Cease and desist violation; 1 year probation; repay to the estate the amount received Date of Order/Settlement: 2005-09-12 00:00:00 | |
| 09-09-2005 | In the Matter of Dedicated Resources Inc. and Dedicated Trustees Inc. | Consent Order and Dismissal | Final |
| 09-09-2005 | Dedicated Resources Inc. Dedicated Trustees | Miami FL Allegation: Not a registered broker/dealer agents; sale of unregistered securities (viaticals) Resolution: Consent signed: Cease and desist the offer or sale of unregistered securities (viatical settlement) investment contracts to persons residing in Iowa. Date of Order/Settlement: 2005-09-10 00:00:00 | |
| 09-08-2005 | In The Matter Of: Industry And Investors Displaced Due To Hurricane Katrina | Order | Final |
| 09-05-2005 | In the Matter of Christopher R. Harl | Order and Consent to Order | Final |
| 09-05-2005 | Gulsvig Ronald G. | Waterloo IA` Allegation: Failure to pay child support Resolution: License suspended Date of Order/Settlement: 2005-09-06 00:00:00 | |
| 08-28-2005 | In the Matter of James P. Bankson | Order and Consent to Order | Final |
| 08-25-2005 | Bankson James P. | San Clemente CA Allegation: Failure to report other states action Resolution: Consent: Cease and desist violation of Iowa laws; Pay $125 Fine and $12 Costs. Date of Order/Settlement: 2005-08-26 00:00:00 | |
| 08-24-2005 | In the Matter of Dennis M. Stephens | Order | Final |
| 08-23-2005 | In the Matter of Christopher D. Lacona | Proposed Findings of Fact Conclusions of Law and Order | Final |
| 08-23-2005 | In the Matter of Action Moving Inc. | Findings of Fact Conclusions of Law and Order | Final |
| 08-23-2005 | In the Matter of Michele L. Mankamyer | Proposed Findings of Fact Conclusions of Law and Order | Final |
| 08-23-2005 | In the Matter of Crystal Christian | Proposed Findings of Fact Conclusions of Law and Order | Final |
| 08-23-2005 | In the Matter of Jennifer Lee Decambra | Proposed Findings of Fact Conclusions of Law and Order | Final |
| 08-23-2005 | In the Matter of Walter C. Dasilva Jr. | Proposed Findings of Fact Conclusions of Law and Order | Final |
| 08-23-2005 | In the Matter of Amanda Augustine | Proposed Findings of Fact Conclusions of Law and Order | Final |
| 08-23-2005 | In the Matter of Jeffrey C. Curtin | Proposed Findings of Fact Conclusions of Law and Order | Final |
| 08-23-2005 | In the Matter of Jesse Borrego | Proposed Findings of Fact Conclusions of Law and Order | Final |
| 08-23-2005 | In the Matter of Robert C. Sayre | Proposed Findings of Fact Conclusions of Law and Order | Final |
| 08-23-2005 | In the Matter of George J. Onions Jr. | Proposed Findings of Fact Conclusions of Law and Order | Final |
| 08-23-2005 | In the Matter of Henry E. Simmons | Proposed Findings of Fact Conclusions of Law and Order | Final |
| 08-21-2005 | Insurance Corporation of New York | New York NY Allegation: Failure to comply with Iowa minimum capital and surplus requirements Resolution: Order: Certificate of Authority suspended Date of Order/Settlement: 2005-08-22 00:00:00 | |
| 08-18-2005 | In the Matter of Jeffery D. Etter;Peter E. Miover | Proposed Findings of Fact Conclusions of Law and Order | Final |
| 08-18-2005 | Etter Jeffrey D. | Omaha NE Allegation: Forgery;fraud in withdrawing insurance producer license; failure to disclose termination by insurance company. Resolution: Order signed: License revoked; $500 fine and $200 costs; prohibited from reapplying for license for 6 months. Date of Order/Settlement: 2005-08-19 00:00:00 | |
| 08-18-2005 | Miover Peter E. | Omaha NE Allegation: Forgery;fraud in withdrawing insurance producer license; failure to disclose termination by insurance company. Resolution: Order signed: License revoked; $500 fine and $200 costs; prohibited from reapplying for license for 6 months. Date of Order/Settlement: 2005-08-19 00:00:00 | |
| 08-18-2005 | Hubbard Roderick D. | Buckeye AZ Allegation: Failure to notify Division of Administrative actions; Revocation of license by another state; failure to inform Division of address change; Resolution: Order signed: License revoked; pay $500 fine and $200 costs beore relicensure Date of Order/Settlement: 2005-08-19 00:00:00 | |
| 08-17-2005 | In the Matter of Marie E. Gallegos | Proposed Findings of Fact Conclusions of Law and Order | Final |
| 08-17-2005 | In the Matter of Christopher D. Lacona | Revised Stipulated Order Entered by Agreement of the Parties in Resolution of Statement Charges | Final |
| 08-15-2005 | In the Matter of Joyce B. Thomas | Order and Consent to Order | Final |
| 08-15-2005 | Thomas Joyce B. | Las Vegas NV Allegation: Failure to notify of other states action Resolution: Consent signed: Cease and desist violation; pay $125.00 Fine and $125.00 Costs Date of Order/Settlement: 8/16/05 | |
| 08-11-2005 | Gallegos Marie E. | Amarillo TX Allegation: Failure to report other states actions; failure to cooperate with investigation Resolution: Order: License revoked; pay $500 Fine and $200 Costs Date of Order/Settlement: 2005-08-12 00:00:00 | |
| 08-09-2005 | In the Matter of Waddell & Reed Inc. | Consent Order | Final |
| 08-09-2005 | Waddell & Reed Inc. | Overland Park KS Allegation: Waddell a broker dealer sought to exchange their customers United Investors Life Ins. Co. variable annuities to Nationwide variable annuities. The BB and agents received a new commission on each exchange but many customers paid surrender charges. Resolution: Order and Consent to Order. Waddell & Reed censured $79000 to compensate Iowa customers $29000 civil penalty to the Division and several undertakings. Date of Order/Settlement: 2005-08-10 00:00:00 | |
| 08-08-2005 | In re the application of FARMERS MUTUAL INSURANCE ASSOCIATION for approval of an Assumption and Reinsurance Agreement with ST. ANSGAR MUTUAL INSURANCE ASSOCIATION | Findings of Fact Conclusions of Law and Order | Final |
| 07-28-2005 | Producer License of James N. Basset | Notice of Suspension | |
| 07-28-2005 | Crooke Roger D. | New Market TN Allegation: Failure to notify Division of other states action Resolution: Order: License revoked; Pay $500 Fine and $200 Costs before relicensure Date of Order/Settlement: 2005-07-29 00:00:00 | |
| 07-28-2005 | Taylor Thomas C. | Florissant MO Allegation: Failure to notify Division of criminal action Resolution: Order: License revoked; Pay $500 Fine and $200 Costs before relicensure Date of Order/Settlement: 2005-07-29 00:00:00 | |
| 07-28-2005 | Priovolos George T. | Bloomington IL Allegation: Provided incorrect information on license application Resolution: Order: License revoked; Pay $500 Fine and $200 Costs before relicensure Date of Order/Settlement: 2005-07-29 00:00:00 | |
| 07-28-2005 | Bassett James N. | Algona IA Allegation: Failure to pay child support Resolution: License suspended Date of Order/Settlement: 2005-07-29 00:00:00 | |
| 07-25-2005 | In the Matter of Conduct of Washington National Insurance Company | Order and Consent to Order | Final |
| 07-25-2005 | In the Matter of Carl M. Bibb | Order and Consent to Order | Final |
| 07-25-2005 | Washington National Insurance Company | Carmel IN Allegation: Failure to appoint insurance producers in Iowa Resolution: Consent: Cease and desist failing to appoint producers; pay $4200 Fine and $1000 Costs Date of Order/Settlement: 2005-07-26 00:00:00 | |
| 07-25-2005 | Bibb Carl M. | Elkhorn NE Allegation: Failure to notify Division of other states administrative action within 30 days Resolution: Consent: Cease and desist; pay $250 Fine and $250 Costs Date of Order/Settlement: 2005-07-26 00:00:00 | |
| 07-13-2005 | In re the application of PETROLEUM MARKETERS MUTUAL INSURANCE COMPANY for approval of a plan of election and a plan of conversion to a stock insurance company, In re the application of PETROLEUM MARKETERS MUTUAL INSURANCE COMPANY for approval of a plan of election and a plan of conversion to a stock insurance company, In re the application of PETROLEUM MARKETERS MUTUAL INSURANCE COMPANY for approval of a plan of election and a plan of conversion to a stock insurance company, In re the application of PETROLEUM MARKETERS MUTUAL INSURANCE COMPANY for approval of a plan of election and a plan of conversion to a stock insurance company, In re the application of PETROLEUM MARKETERS MUTUAL INSURANCE COMPANY for approval of a plan of election and a plan of conversion to a stock insurance company, In re the application of PETROLEUM MARKETERS MUTUAL INSURANCE COMPANY for approval of a plan of election and a plan of conversion to a stock insurance company, In re the application of PETROLEUM MARKETERS MUTUAL INSURANCE COMPANY for approval of a plan of election and a plan of conversion to a stock insurance company, In re the application of PETROLEUM MARKETERS MUTUAL INSURANCE COMPANY for approval of a plan of election and a plan of conversion to a stock insurance company, In re the application of PETROLEUM MARKETERS MUTUAL INSURANCE COMPANY for approval of a plan of election and a plan of conversion to a stock insurance company |
NOTICE of Combined Public Hearing and ORDER |
Final |
| 07-12-2005 | Lacona Christopher D. | Carlisle IA Allegation: Failure to notify Division of criminal violations on license application; failure to cooperate with a Division investigation; Resolution: Consent signed: License suspended for 30 days; $250 Fine; Date of Order/Settlement: 2005-07-13 00:00:00 | |
| 07-06-2005 | Bronson Michael J. | Cedar Rapids IA Allegation: Referencing himself as a financial planner Resolution: Consent signed: Cease representing himself as a Financial Planner; 2 years probation; $250 Fine and $250 Costs Date of Order/Settlement: 2005-07-07 00:00:00 | |
| 07-05-2005 | Cunningham Kevin J. | Palos Park IL Allegation: Revocation of license by another state; failure to cooperate with investigation Resolution: Consent signed: two years probation; report any administrative action within 30 days; cease and desist any violation of Iowa insurance laws;pay $350 Fine and $100 Costs Date of Order/Settlement: 2005-07-06 00:00:00 | |
| 06-30-2005 | Simmons Henry | Virginia Beach VA Allegation: Failure to notify of other state administrative action; Failure to respond Resolution: Order- License revoked. Date of Order/Settlement: 2005-07-01 00:00:00 | |
| 06-30-2005 | Simmons Henry E. | Virginia Beach VA Allegation: Failure to notify Division of prior actions; failure to cooperate with investigation; denial of license by another state. Resolution: Order: License revoked; Pay $250 Fine and respond to division inauires before license may be restored. Date of Order/Settlement: 2005-07-01 00:00:00 | |
| 06-30-2005 | Sayre Robert C. | Anamosa IA Allegation: Failure to disclose prior actions on application; failure to notify Division of prior actions; revocation of license by another state; failure to cooperate with investigation Resolution: Order: License revoked; pay $250 Fine and provide explanation to inquiries before license is restored. Date of Order/Settlement: 2005-07-01 00:00:00 |