Administrative Orders and Actions

PLEASE NOTE: Prior to April 17, 2015, the Division placed both enforcement and administrative orders and actions on this page. After that date, only new administrative orders and actions will be posted here.

Enforcement orders and actions made after that date will be posted at http://www.iid.state.ia.us/enforders_list.

Post date Matter Order Status
05-28-2007 Duffin Richard Lehi UT Allegation: Unregistered investment advisor and representative. Resolution: Consent Order signed and civil penalty assessed. Date of Order/Settlement: 2007-05-29 00:00:00
05-28-2007 Maxwell Garlon Pleasant Grove UT Allegation: Unregistered investment advisor. Resolution: Consent Order signed and civil penalty assessed. Date of Order/Settlement: 2007-05-29 00:00:00
05-28-2007 Lincoln Benefit Life Company Lincoln NE Allegation: Failure to cooperate in an investigation by the Commissioner. Resolution: Consent Order - Civil penalty and costs imposed and response received for the Divisions inquiries. Date of Order/Settlement: 2007-05-29 00:00:00
05-28-2007 Davis Carl West Des Moines IA Allegation: Advertising Violations Resolution: Order and Consent to Order - placed on probation for a period of six months; Civil penalty and costs imposed. Date of Order/Settlement: 2007-05-29 00:00:00
05-20-2007 In the Matter of Vernon Wayne Cooper Order and Consent to Order and Agreement Final
05-20-2007 Comeau Perry Oelwein IA Allegation: Unregistered investment advisor and representative. Resolution: Consent Order signed and civil penalty assessed. Date of Order/Settlement: 2007-05-21 00:00:00
05-20-2007 Cooper Vernon Rochester MN Allegation: Plead guilty to criminal charges. Resolution: Consent Order - producer license is revoked and Cooper is permanently barred from reapplying. Date of Order/Settlement: 2007-05-21 00:00:00
05-09-2007 In the Matter of Louis J. Roi Order and Consent to Order Final
05-09-2007 In the Matter of Christine Lueders Order and Consent to Order Final
05-09-2007 Lueders Christine Deer Park IL Allegation: Surplus Violations. Resolution: Consent Order signed and civil penalty assessed. Date of Order/Settlement: 2007-05-10 00:00:00
05-09-2007 Roi Louis Naperville IL Allegation: Surplus Violations. Resolution: Consent Order signed and civil penalty assessed. Date of Order/Settlement: 2007-05-10 00:00:00
05-02-2007 Skaggs Christopher Iowa City IA Allegation: Failure to disclose criminal history. Resolution: Order and Consent to Order; Civil penalty. Date of Order/Settlement: 2007-05-03 00:00:00
04-22-2007 In the Matter of Thomas K. Anderson Order for Suspension Final
04-22-2007 In the Matter of Luminar Media Corporation and Michael C. Woodman A/K/A Jesse Dylan Cease and Desist Order Final
04-22-2007 Anderson Thomas K Davenport IA Allegation: Failure to comply with Other State Agency - DHS; Non-compliance w/order of Child Support. Resolution: Iowa Insurance Producer License suspended. Date of Order/Settlement: 2007-04-23 00:00:00
04-12-2007 In the Matter of National Foundation of America Richard K. Olive and Luis S. Moscoso Cease and Desist Order Issued
04-08-2007 In the Matter of Adam N. Schadt Decision Final
04-08-2007 Goering Wendy Boone IA Allegation: Failure to disclose criminal history. Resolution: Decision - Ordered to pay civil penalty. Date of Order/Settlement: 2007-04-09 00:00:00
04-02-2007 In the Matter of Wendy D. Goering Decision Final
04-02-2007 Schadt Adam Green Bay WI Allegation: Failure to respond Resolution: Default decision - Revoked producer license; Civil penalty of $500 and Costs of $250. Date of Order/Settlement: 2007-04-03 00:00:00
04-01-2007 In the Matter of Lucas M. Fischer Order for Suspension Final
04-01-2007 Fischer Lucas Newton IA Allegation: Child Support Violation. Resolution: Order for suspension of insurance producer license. Date of Order/Settlement: 2007-04-02 00:00:00
03-20-2007 In the Matter of Conseco Life Insurance Company Order and Consent to Order Final
03-20-2007 Conseco Life Insurance Co Allegation: Failure to respond to company exam relating to the use of R-Factor in policies. Resolution: Consent Order - Civil penalty $725000 and costs assessed. Date of Order/Settlement: 2007-03-21 00:00:00
03-14-2007 In the Matter of Bankers Life & Casualty Company Order and Consent to Order Final
03-14-2007 In the Matter of Success Trust and Holding LLC and A. Paul Reynolds Cease and Desist Order Final
03-14-2007 Reynolds Archie Paul Simpsonville SC Allegation: Acting as an unregistered securities agent; Sale of unregistered security. Resolution: Cease and Desist Order issued. Date of Order/Settlement: 2007-03-15 00:00:00
03-14-2007 Success Trust and Holdings LLC Simpsonville SC Allegation: Sale of unregistered security. Resolution: Cease and Desist Order issued. Date of Order/Settlement: 2007-03-15 00:00:00
03-13-2007 In the Matter of Garlon Maxwell Cease and Desist Order Final
03-13-2007 Bankers Life and Casualty Company Camel IN Allegation: Market conduct; Misrepresentations and Violation of sales practices. Resolution: Order and Consent to Order - Cease and Desist violations Implement the terms of the MOU Civil penalty of $100000. Date of Order/Settlement: 2007-03-14 00:00:00
03-08-2007 In the Matter of Patricia Townsend Order and Consent to Order Final
03-08-2007 Townsend Patricia Morton IL Allegation: Sold policies during the time period that insurance producer license not renewed. Resolution: Order and Consent to Order - Civil penalty and costs imposed. Date of Order/Settlement: 2007-03-08 00:00:00
03-07-2007 In the Matter of Combined Insurance Co. Order and Consent to Order Final
03-07-2007 Combined Insurance Company of America Glenview IL Allegation: Failed to implement adequate procedures to ensureproper licensure of its independent agents thereby resulting in the sale of policies by an unlicensed agent. Resolution: Order and Consent to Order - Civil penalty and costs imposed. Date of Order/Settlement: 2007-03-07 00:00:00
03-07-2007 Steckis William Omaha NE Allegation: Failure to report other states action. Resolution: Cease & Desist from violations and monetary penalty. Date of Order/Settlement: 2007-03-07 00:00:00
03-05-2007 Bessine Dustin Burlington IA Allegation: Failure to comply with Other State Agency - DHS; Non-compliance w/order of Child Support Resolution: License is suspended Date of Order/Settlement: 2007-03-05 00:00:00
02-23-2007 In the Matter of Pamela Larson Order and Consent to Order Final
02-23-2007 Larson Pamela Clear Lake IA Allegation: Issued fraudulent insurance cards issued retroactive coverage and committed fraud. Resolution: Order & Consent to Order - 60 day suspension civil penalty and costs assessed. Date of Order/Settlement: 2007-02-23 00:00:00
02-22-2007 In the Matter of Gregory Messmore Order and Consent to Order Final
02-22-2007 Messmore Gregory Mason City IA Allegation: Unsuitable sale and violation of insurance and securities license. Resolution: Order & Consent to Order- Insurance and Securities License is suspended for a period of no less than five years. Date of Order/Settlement: 2007-02-22 00:00:00
02-21-2007 In the Matter of Sheryl K. Oberreuter Order and Consent to Order Final
02-21-2007 Oberreuter Sheryl Norway IA Allegation: Issued retroactive coverage. Resolution: Order and Consent to Order - Suspension of insurance producer license for 60 days; Civil Penalty and Costs were assessed. Date of Order/Settlement: 2007-02-21 00:00:00
02-07-2007 Nelson Gary Tarpon Springs FL Allegation: Unregistered securities Unregistered agent Ommissions and Misrepresentations. Resolution: Order and Consent to Order signed. Civil penalty imposed in Cease & Desist is vacated. Date of Order/Settlement: 2007-02-07 00:00:00
02-07-2007 Nelson Judith Tarpon Springs FL Allegation: Unregistered securities Unregistered agent Ommissions and Misrepresentations. Resolution: Order and Consent to Order signed. Civil penalty imposed in Cease & Desist is vacated. Date of Order/Settlement: 2007-02-07 00:00:00
02-07-2007 The Just Foundation Tarpon Springs FL Allegation: Unregistered securities Unregistered agents Ommissions and Misrepresentations. Resolution: Order and Consent to Order signed. Civil penalty imposed in Cease & Desist is vacated. Date of Order/Settlement: 2007-02-07 00:00:00
01-24-2007 In the Matter of Blair C. Williams Order for Suspension Final
01-24-2007 In the Matter of Jason J. Rudd Order for Suspension Final
01-24-2007 Williams Blair Ankeny IA Allegation: Failure to comply with Other State Agency - DHS; Non-compliance w/order of Child Support Resolution: License suspended. Date of Order/Settlement: 2007-01-24 00:00:00
01-24-2007 Rudd Jason Montrose IA Allegation: Failure to comply with Other State Agency - DHS; Non-compliance w/order of Child Support Resolution: License suspended. Date of Order/Settlement: 2007-01-24 00:00:00
01-18-2007 In the Matter of Gene D. Tyson Order for Suspension Final