Administrative Orders and Actions

Post date Matter Order Status
08-07-2006 In the Matter of Timothy Stabile Order and Consent to Order Final
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
08-06-2006 In the matter of Peter Joseph Bonnell III Decision Final
08-06-2006 In the Matter of L. Basheer Hasan Order and Consent to Order Final
08-02-2006 In the Matter of Schatz & Associates Ruling of the Insurance Commissioner Final
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
07-26-2006 In the Matter of Steven J. Moore Order and Consent to Order Final
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
07-24-2006 In the Matter of Anthony S. Sorensen Order and Consent to Order Final
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
07-23-2006 In the Matter of John L. Ege Jr. Order and Consent to Order Final
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
07-10-2006 In the Matter of Bradley W. Johnson Order of Suspension Final
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
07-09-2006 In the Matter of Cedrick Jones Amended Order of Suspension Final
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
06-19-2006 In the Matter of Phoukam Baccam Order for Default Final
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
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
04-27-2006 In the Matter of Eric S. Beck Order for Suspension of Licese Final
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
04-23-2006 In the Matter of Schatz & Associates Proposed Findings of Facts Conclusions of Law and Order Final
04-23-2006 In the Matter of Curtis Froyen Proposed Findings of Facts Conclusions of Law and Order Final
03-30-2006 In the Matter of Sheri M. Gamel Order and Consent to Order Final
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
03-24-2006 In the Matter of William James Davis Midwest Financial Consultants Proposed Findings of Facts Conclusions of Law and Order Final
03-22-2006 In the Matter of Larry Flowers Proposed Findings of Facts Conclusions of Law and Order Final
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
02-23-2006 In the Matter of Terrence Seawright Proposed Findings of Facts Conclusions of Law and Order Final
02-23-2006 Seawright Terrence Philadelphia PA Allegation: Failure to disclose other states action failure to disclose on license application failure to respond. Resolution: Order: License revoked; $250 fine; make full explanation. Date of Order/Settlement: 2006-02-23 00:00:00
02-23-2006 Davis Shana M. Des Moines IA Allegation: Violations of Securities Act; Unregistered agent & investment adviser representative Misrepresentations & Omissions Cease and Desist orders issued by other states Resolution: Consent: pay $3000 Costs; cooperate in investigation; Date of Order/Settlement: 2006-02-23 00:00:00
02-23-2006 Richardson Terry C. Des Moines IA Allegation: Violations of Securities Act; Unregistered agent & investment adviser representative Misrepresentations & Omissions Cease and Desist orders issued by other states Resolution: Consent: permanently barred from reapplying for insurance producer license; pay $3000 Costs; cooperate in investigation; Date of Order/Settlement: 2006-02-23 00:00:00
02-17-2006 South Central Mutual Insurance Association Chariton IA Allegation: Failure to respond Resolution: Consent; agrees to respond; Fine $1000 & Cost $500 paid. Date of Order/Settlement: 2006-02-17 00:00:00
02-17-2006 Schatz Kenneth Sioux City IA Allegation: Resolution: Order: license revocation rescinded Date of Order/Settlement: 2006-02-17 00:00:00
02-17-2006 United Fire & Casualty Company Cedar Rapids IA Allegation: Failure to report dividends Resolution: Consent: Report dividends as directed; submit schedule; pay $1000 fine; $500 Costs Date of Order/Settlement: 2006-02-17 00:00:00
02-15-2006 In the Matter of Shana M. Davis;Terry C. Richardson Order and Consent to Order Final
02-07-2006 State of Iowa vs. Dennis Stephens Findings of Fact Conclusions of Law and Order Final
02-02-2006 In the Matter of Jamie L. Stoner Summary Order Denying Application For Sales Permit Final
02-01-2006 In the Matter of Loren Binstock;Julie Binstock Cease and Desist Order Final
02-01-2006 Binstock Julie Marshalltown IA Allegation: Sale of unregistered securities; misrepresentations omissions Resolution: Order: Cease and desist the offer or sale of unregistered securities acting as unregistered agents; making untrue statements of facts omitting material facts; pay $5000 fine Date of Order/Settlement: 2006-02-01 00:00:00
02-01-2006 Binstock Loren Marshalltown IA Allegation: Sale of unregistered securities; misrepresentations omissions Resolution: Order: Cease and desist the offer or sale of unregistered securities acting as unregistered agents; making untrue statements of facts omitting material facts; pay $5000 fine Date of Order/Settlement: 2006-02-01 00:00:00
01-27-2006 In the Matter of Bruce E. Nelson Summary Order Denying Agent Registration Final
01-03-2006 Roth Samantha Germantown OH Allegation: Failure to notify Division of administrative action Resolution: Consent: Cease and desist violations of Iowa law; pay $125 Fine and $125 Costs Date of Order/Settlement: 2006-01-03 00:00:00
12-22-2005 Newkirk Timothy De Pere WI Allegation: Failure to notify of other state’s action Resolution: Order; License revoked $250 fine Date of Order/Settlement: 2005-12-22 00:00:00
12-22-2005 Pell Melissa Kenova WV Allegation: Failure to notify of other state’s action Resolution: Order; License revoked $250 fine Date of Order/Settlement: 2005-12-22 00:00:00
12-22-2005 Pettus Rodney Charlotte NC Allegation: Failure to notify of other state’s action Resolution: Order; License revoked $250 fine Date of Order/Settlement: 2005-12-22 00:00:00
12-22-2005 Reyna Ray Jr San Francisco CA Allegation: Failure to notify of other state’s action Resolution: Order; License revoked $250 fine Date of Order/Settlement: 2005-12-22 00:00:00
12-22-2005 Smith Jessica Wallingford CT Allegation: Failure to notify of other state’s action Resolution: Order; License revoked $250 fine Date of Order/Settlement: 2005-12-22 00:00:00
12-22-2005 Sonnichsen Alan Westport CT Allegation: Failure to notify of other state’s action Resolution: Order License revoked $250 fine Date of Order/Settlement: 2005-12-22 00:00:00
12-22-2005 Goff John Pike Road AL Allegation: Failure to notify of other state’s action Resolution: Order; License revoked $250 fine Date of Order/Settlement: 2005-12-22 00:00:00