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06-28-2003 |
Behnkendorf Geerald D. |
Algona IA
Allegation: Improper sales of insurance products
Resolution: Consent signed: Cease and desist from further violations; 2 years probation; report all consumer complaints to the Division within 30 days; pay $5000 costs.
Date of Order/Settlement: 2003-06-30 00:00:00 |
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06-28-2003 |
Robey Elmer E. |
Dubuque IA
Allegation: Accepting insurance business from unlicensed persons
Resolution: Consent signed: Iowa Insurance license suspended for six months; Pay $500 Fine and $250 Costs before suspension is lifted.
Date of Order/Settlement: 2003-06-30 00:00:00 |
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06-26-2003 |
Philadelphia Indemnity Insurance Company |
Bala Cynwyd PA
Allegation: Failure to respond to Divisions inquiry
Resolution: Consent signed: Respond to Divisions inquiry; pay $500 Fine; $100 Costs
Date of Order/Settlement: 2003-06-27 00:00:00 |
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06-12-2003 |
In the Matter of Professional Employment Planners; Alan Steven Kessler |
Agreement Order and Consent to Agreement and Order |
Final |
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06-11-2003 |
Monumental Life Insurance Company |
Baltimore MD
Allegation: Multi-state examination regarding race based premium
Resolution: Order signed: Company will make adjustment and shall not make or permit any unfair discrimination; payment to each state participating in agreement proportionately.
Date of Order/Settlement: 2003-06-12 00:00:00 |
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06-10-2003 |
In the matter of NATIONAL WARRANTY INSURANCE COMPANY RISK RETENTION GROUP |
Suspension Order |
Final |
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06-09-2003 |
In the matter of SC & E ADMINISTRATIVE SERVICES INC. |
Cease and Desist Order |
Final |
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06-09-2003 |
Frey Terry G. |
Cedar Rapids IA
Allegation: Violation of unfair trade practices
Resolution: Consent signed: Insurance license surrentered and made inactive pending resolution of the statement of charges; shall not sell solicit or negotiate insurance in Iowa until such time if any license is reactivated
Date of Order/Settlement: 2003-06-10 00:00:00 |
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06-01-2003 |
In the Matter of Peter C. Klamka; Legend Mobile Inc. |
Order and Consent to Order and Agreement |
Final |
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06-01-2003 |
Glawe Jerald L. |
Algona IA
Allegation: Sale of unregistered securities and/or business opportunities
Resolution: Consent signed: 1 yr probation; repay all commissions and/or finders fees of $1400; sell only approved insurance products.
Date of Order/Settlement: 2003-06-02 00:00:00 |
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06-01-2003 |
Semon Roy L. |
Sergeant Bluff IA
Allegation: Advertising violations
Resolution: Consent signed: 2 yr probation; $500 Fine and $200 Costs paid.
Date of Order/Settlement: 2003-06-02 00:00:00 |
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06-01-2003 |
Smith Yusef D. |
Cedar Rapids IA
Allegation: Application disclosures
Resolution: Consent signed: Granted insurance license for health qualification with restrictions.
Date of Order/Settlement: 2003-06-02 00:00:00 |
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06-01-2003 |
Bankers Life and Casualty Company |
Chicago IL
Allegation: Advertising Violations
Resolution: Consent signed: Pay $9424 Fine; comply with Iowa advertising laws and regulations.
Date of Order/Settlement: 2003-06-02 00:00:00 |
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05-21-2003 |
Christensen Daniel J. |
Dubuque IA
Allegation: Failure to cooperate in an investigation
Resolution: Order: Insurance License suspended; $500 Fine; $100 Costs; respond to Division inquiry
Date of Order/Settlement: 2003-05-22 00:00:00 |
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05-15-2003 |
Blazicek Diane J. |
Johnson City NY
Allegation: Material misstatement on application for licensure; revocation of insurance license in another state; failure to notify Division of prior actions
Resolution: Order: License revoked
Date of Order/Settlement: 2003-05-16 00:00:00 |
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05-07-2003 |
Bratty Brooke |
Council Bluffs IA
Allegation: Sale of unregistered securities and/or business opportunities; failure to cooperate in an investigation by the Insurance Division.
Resolution: Order signed: Insurance license suspended; Pay $500 Fine; provide information to Iowa Ins. Div before suspension is lifted.
Date of Order/Settlement: 2003-05-08 00:00:00 |
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05-07-2003 |
Bakken Harlan T. |
Waukon IA
Allegation: Sale of unregistered securities and/or business opportunities
Resolution: Consent signed: 1 yr probation; repay all commissions and/or finders fees of $500; sell only approved insurance products.
Date of Order/Settlement: 2003-05-08 00:00:00 |
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05-06-2003 |
In the Matter of Omni Advisor Group; Brian P. McGuane |
Agreement and Consent to Agreement |
Final |
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05-04-2003 |
In the matter of Homeland Energy Inc.; Homeland-Four Well Development LLP; Gregory D. Matthews |
Cease and Desist Order |
Final |
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04-27-2003 |
In the matter of Dennis T. Siamis |
Order and Consent To Order and Agreement |
Final |
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04-27-2003 |
Siamis Dennis T. |
Cedar Rapids IA
Allegation: Engaged in dishonest or unethical practices in the securities business
Resolution: Consent: Surrender insurance license and disqualified for 5 years from reapplying for an insurance license in Iowa with no promise or assurance of approval for licensure in the future.
Date of Order/Settlement: 2003-04-28 00:00:00 |
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04-24-2003 |
In the matter of Robert Lippold |
Order and Consent To Order and Agreement |
Final |
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04-24-2003 |
Zimmerman Jamie A. |
West Branch IA
Allegation: Conversion of client funds
Resolution: Consent signed: Revocation of Securities agent license and permanently barred from reapplying effective 1/13/03; Revocation of insurance producer license and permanently barred from reapplying effective 4/25/03
Date of Order/Settlement: 2003-04-25 00:00:00 |
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04-24-2003 |
Flikeid William E. |
Lakeville MN
Allegation: Sale of unregistered securities and/or business opportunities
Resolution: Consent signed: 1 yr probation; repay all commissions and/or finders fees of $5600; sell only approved insurance products.
Date of Order/Settlement: 2003-04-25 00:00:00 |
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04-16-2003 |
King Lawrence S. |
Omaha NE
Allegation: Misrepresentations in insurance applications
Resolution: Order: License suspended; Pay $500 Fine
Date of Order/Settlement: 2003-04-17 00:00:00 |
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04-16-2003 |
Fagan Robert Shaun |
Kansas City MO
Allegation: Misrepresentations in insurance applications
Resolution: Order: License suspended; Pay $500 Fine
Date of Order/Settlement: 2003-04-17 00:00:00 |
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04-14-2003 |
In the matter of Willard Johnson |
Voluntary Agreement |
Final |
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04-04-2003 |
Ohio National Life Insurance Company |
Cincinnati OH
Allegation: Replacement violations
Resolution: Consent Signed: Pay civil Penalty of $15000; Pay $2200 Costs; Submit to Division $21054 in commissions earned by agent; compliance with insurance regulations laws regarding replacement.
Date of Order/Settlement: 2003-04-04 00:00:00 |
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04-04-2003 |
Petersen Jeff A. |
Sioux City IA
Allegation: Unlicensed activity
Resolution: Consent signed: Cease and Desist with unlicensed offer and sale of insurance; Pay costs of $7000.
Date of Order/Settlement: 2003-04-04 00:00:00 |
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04-02-2003 |
Revland Markis J. |
Arnolds Park IA
Allegation: Sale of unregistered securities and/or business opportunities
Resolution: Consent signed: 2 yr probation; repay all commissions and/or finders fees of $19460; repay investors a prorata portion; pay $1000 administrative penalty; sell only approved insurance products.
Date of Order/Settlement: 2003-04-02 00:00:00 |
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03-30-2003 |
Lavin Larry B. |
Milford IA
Allegation: Sale of unregistered securities and/or unregistered business opportunities
Resolution: Consent signed: 1 yr; probation; Repay commissions and/or finders fees; Restitution on pro-rata basis to Iowa investors of $18480; sell only approved products or investments.
Date of Order/Settlement: 2003-03-31 00:00:00 |
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03-27-2003 |
Coventry Health Care of Iowa Inc. |
West Des Moines IA
Allegation: Time and Notice requirements of external review procedure violations
Resolution: Consent signed: Pay $1000 Civil Penalty
Date of Order/Settlement: 2003-03-27 00:00:00 |
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03-27-2003 |
Johnson Willard G. |
Geneseo IL
Allegation: Sale of unregistered securities and/or business opportunities
Resolution: Consent Signed: Voluntary surrender of Iowa Insurance license; repay commissions of $11200 before eligible for relicensing in Iowa; Cease and Desist insurance business or securities business in IA
Date of Order/Settlement: 2003-03-27 00:00:00 |
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03-27-2003 |
McCain Larry D. |
Sioux City IA
Allegation: Failure to cooperate
Resolution: Consent signed: 2 yrs probation; cooperate with Divisions investigation into complaints; Pay $2500 Costs.
Date of Order/Settlement: 2003-03-27 00:00:00 |
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03-27-2003 |
Lark Dershaun A. |
Bellevue NE
Allegation: Failure to cooperate; failure to notify Division of prior action
Resolution: Order signed: License suspended until full response received
Date of Order/Settlement: 2003-03-27 00:00:00 |
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03-24-2003 |
In the Matter of Stanley Blaue |
Agreement Order and Consent to Agreement and Order |
Final |
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03-21-2003 |
Christensen Jr. Robert A. |
Atlantic IA
Allegation: Violation of Commissioners Order; Dishonest practices and incompetence; Failure to inform of address change
Resolution: Order: License revoked
Date of Order/Settlement: 2003-03-21 00:00:00 |
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03-20-2003 |
Rhynsburger Ronald J. |
Sioux City IA
Allegation: Failure to cooperate
Resolution: Order: License suspended until response received; Pay $500 Fine.
Date of Order/Settlement: 2003-03-20 00:00:00 |
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03-17-2003 |
Lippold Robert J. |
Des Moines IA
Allegation: Sale of unregistered securities and/or unregistered business opportunities
Resolution: Consent Signed: 1 yr probation; Pay $3500 civil penalty to IID; sell only approved products.
Date of Order/Settlement: 2003-03-17 00:00:00 |
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03-17-2003 |
McGinnis Douglas D. |
Shenandoah IA
Allegation: Sale of unregistered securities and/or business opportunities
Resolution: Consent signed: 1 yr probation; repay all commissions and/or finders fees $9000; sell only approved insurance products.
Date of Order/Settlement: 2003-03-17 00:00:00 |
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03-16-2003 |
In the Matter of Douglass Keigley also known as Pete Keigley |
Cease and Desist Order |
Final |
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03-12-2003 |
Moeller Gregory M. |
Mount Pleasant IA
Allegation: Sale of unregistered securities and/or business opportunities
Resolution: Consent signed: 1 yr. probation; repay all commissions of $1400;sell only approved products.
Date of Order/Settlement: 2003-03-12 00:00:00 |
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03-11-2003 |
Buchholz Barry L. |
Cedar Rapids IA
Allegation: Replacement violations
Resolution: Consent signed: Cease and desist violating replacement laws and regulations: pay $2000 Civil Penalty; $500 Costs
Date of Order/Settlement: 2003-03-11 00:00:00 |
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03-05-2003 |
In the matter of Global Pictures Inc.; Michael Rich; Robert Nittolo |
Cease and Desist Order |
Final |
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03-03-2003 |
Daugherty Sandra J. |
Madrid IA
Allegation: Criminal complaints
Resolution: Consent signed: License revoked permanently
Date of Order/Settlement: 2003-03-03 00:00:00 |
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02-22-2003 |
In the Matter of American Metals Company Joseph Vasconcelos |
Cease and Desist Order |
Final |
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02-13-2003 |
Barnes Lloyd |
Omaha NE
Allegation: Used unlicensed agent/agents to solicit and procure applications for insurance; retained excess premium;signed application without authorization
Resolution: Consent signed: License revoked
Date of Order/Settlement: 2003-02-13 00:00:00 |
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02-13-2003 |
Scribner Monica F |
Omaha NE
Allegation: Sale of unregistered securites and/or unregistered business opportunities
Resolution: Consent signed: 1 yr probation; repayment of commissions and finders fee payments of $3500.
Date of Order/Settlement: 2003-02-13 00:00:00 |
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02-10-2003 |
Chapin Scott R |
DeSoto IA
Allegation: Sale of unregistered securities and/or unregistered business opportunities
Resolution: Consent signed: 1 yr probation; repayment of commissisons and/or finders fee payments of $18900.
Date of Order/Settlement: 2003-02-10 00:00:00 |
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02-10-2003 |
Baxter Raymond E. |
Ft. Madison IA
Allegation: Sale of unregistered securities and/or unregistered business opportunities
Resolution: Consent signed: 1 yr probation; repayment of commissions and finders fee payments $2695.
Date of Order/Settlement: 2003-02-10 00:00:00 |
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