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
09-19-2004 In the Matter of Aaron Chamley; Chamley Financial LLC; and James Chamley Cease and Desist Order Final
09-19-2004 Chamley James Colorado Springs CO Allegation: Sold viatical settlement investment contracts while unregistered Resolution: Cease and Desist issued to halt sale of unregistered securities Date of Order/Settlement: 2004-09-20 00:00:00
09-19-2004 Chamley Financial LLC Colorado Springs CO Allegation: Sold viatical settlement investment contracts while unregistered Resolution: Cease and desist issued to halt sale of unregistered securities Date of Order/Settlement: 2004-09-20 00:00:00
09-19-2004 Chamley Aaron Van Wert IA Allegation: Sold viatical settlement investment contracts while unregistered. Resolution: Cease and desist issued to hald the sale of unregistered securities; cease and desist acting as unregistered agent Date of Order/Settlement: 2004-09-20 00:00:00
09-16-2004 Larpenter Patricia Des Moines IA Allegation: Offered and sold unregistered securities (promisary notes); misrepresented material facts; omitted material facts. Resolution: Cease and desist ordering hald sales and offers to sell securities; misrepresentation and omission of material facts in the offer and selling of securities; cease and desist acting as agents while unregistered Date of Order/Settlement: 2004-09-17 00:00:00
09-16-2004 Larpenter Mike Des Moines IA Allegation: Offered and sold unregistered securities (promisary notes); misrepresented material facts; omitted material facts. Resolution: Cease and desist ordering hald sales and offers to sell securities; misrepresentation and omission of material facts in the offer and selling of securities; Cease and desist acting as agents while unregistered Date of Order/Settlement: 2004-09-17 00:00:00
09-16-2004 Home Solutions Reals Estate Investments Inc. Des Moines IA Allegation: Offered and sold unregistered securities (promisary notes); misrepresented material facts; omitted material facts. Resolution: Cease and desist ordering hald sales and offers to sell securities; misrepresentation and omission of material facts in the offer and selling of securities Date of Order/Settlement: 2004-09-17 00:00:00
09-12-2004 Porterfield III Herlen C. Lansdowne PA Allegation: Providing incorrect information on License Application; conviction of a velony revocation of license in another state; failure to cooperate in investigation by commissioner Resolution: Order: License revoked Date of Order/Settlement: 2004-09-13 00:00:00
09-08-2004 American Equity Investment Life Ins. Co. Des Moines IA Allegation: Failure to submit dividend information to Insurance Division prior to declaration and payment to stockholders. Resolution: Consent signed: Agree to list dividends from January 1 2000 to present; report all dividends within 5 business days; pay $1500 fine and $500 Costs Date of Order/Settlement: 2004-09-09 00:00:00
09-07-2004 In the Matter of Edwin Pace Proposed Findings of Fact Conclusions of Law and Order Final
09-07-2004 Pace Edwin Indianola IA Allegation: Offered and sold unregistered securities; omission of material facts; no securities license incompetence and untrustworthiness; violations of the Iowa Consumer Fraud Act. Resolution: Order: License revoked; not eligible for licensure until obligations imposed by the Iowa District Court are fully satisfied. Date of Order/Settlement: 2004-09-08 00:00:00
09-01-2004 In the Matter of Karl Paul Ritland Order and Consent to Order Final
08-31-2004 Ritland Karl Paul Des Moines IA Allegation: Unauthorized trades and use of discretionary power Resolution: Consent: Securities license censured; 1 year probation; Pay $250 Fine and $250 Costs Date of Order/Settlement: 2004-09-01 00:00:00
08-26-2004 In the Matter of Jerome J. OConnor Jr. Proposed Findings of Fact Conclusions of Law and Order Final
08-26-2004 In the Matter of Samuel W. Walker Proposed Findings of Fact Conclusions of Law and Order Final
08-26-2004 OConnor Jr. Jerome J. Omaha NE Allegation: Forgery; use of fraudulent coercive or dishonest practices Resolution: Order signed: License permanently revoked Date of Order/Settlement: 2004-08-27 00:00:00
08-23-2004 In the Matter of USI of Georgia Inc. Order and Consent to Order Final
08-23-2004 Walker Samuel W. Waterloo IA Allegation: Failure to disclose prior criminal convictions on license application Resolution: Order signed: License revoked Date of Order/Settlement: 2004-08-24 00:00:00
08-22-2004 USI of Georgia Inc. Norfolk VA Allegation: Did not remit surplus lines taxes; no Iowa licensed producer; Resolution: Consent signed: Cease and desist conducting business until employee licensed in Iowa; pay $4500 Fine; and $500 Costs. Date of Order/Settlement: 2004-08-23 00:00:00
08-10-2004 Cooper Byron D. Cedar Rapids IA Allegation: Unlicensed to sell securities; Sale of alleged investments in unregistered securities promissory notes Resolution: Consent signed: Cease and desist sale or offer to sell securities without a securities license; 2 years probation; $5000 civil penalty. Date of Order/Settlement: 2004-08-11 00:00:00
08-10-2004 Kempema David J. Sioux City IA Allegation: Failed to correct address at the Division; used unapproved marketing material; employed unlicensed employees doing insurance business; violation of 508C.18 in soliciting business. Resolution: Consent: Notify Division within 30 days of address change; use only company approved marketing materials; will not use any unlicensed employees doing insurance transactions;will protect confidential client info; pay $2500 Fine; no reference to 508C.18 Date of Order/Settlement: 2004-08-11 00:00:00
08-05-2004 In the Matter of Sunrise Energy Inc.; Shea Silva Cease and Desist Order Final
08-05-2004 Silva Shea Santa Ana CA Allegation: Sale of unregistered securities by an unregistered agent Resolution: Order: Cease and desist of sale or offer of sale of unregistered securities in Iowa Date of Order/Settlement: 2004-08-06 00:00:00
08-05-2004 Sunrise Energy Inc. Irvine CA Allegation: Selling nregistered securities unregistered agent Resolution: Order: Cease and desist the offer or sale of and participating in the offer or sale of unregistered securities Date of Order/Settlement: 2004-08-06 00:00:00
08-01-2004 In the Matter of Ronald S. Helland Order and Consent to Order Final
08-01-2004 In the Matter of Johnathan C. Ahlf Proposed Findings of Fact Conclusions of Law and Order Final
08-01-2004 In the Matter of Daniel E. Mauro Proposed Findings of Fact Conclusions of Law and Order Final
08-01-2004 Helland Ronald S. Ames IA Allegation: Forging of customers signatures on insurance form Resolution: Consent: Cease and desist from allegation; pay $400 Fine and $100 Costs Date of Order/Settlement: 2004-08-02 00:00:00
07-26-2004 Ahlf Johnathan C. Muscatine IA Allegation: Application fraud; forgery of customer signatures;fraudulent or dishonest practices. Resolution: Order: License revoked Date of Order/Settlement: 2004-07-27 00:00:00
07-21-2004 In the Matter of Bruce D. Parks Order and Consent to Order Final
07-21-2004 Parks Bruce D. Burlington IA Allegation: Sale of unregistered securities and/or unregistered business opportunities without proper licensure. Resolution: Consent signed: Iowa insurance license permanently revoked; cease and desist participating in any activiites that require an insurance license and sale of unregistered securities and/or business opportunities in Iowa. Date of Order/Settlement: 2004-07-22 00:00:00
07-20-2004 In the Matter of Steven A. Purdue Proposed Findings of Fact Conclusions of Law and Order
07-20-2004 Mauro Daniel E. Des Moines IA Allegation: Requested an administrative hearing for non-renewal of license. Resolution: Order: Commissioners denial of application for licensure upheld Date of Order/Settlement: 2004-07-21 00:00:00
07-19-2004 In the Matter of Lorenzo Dodd Proposed Findings of Fact Conclusions of Law and Order
07-19-2004 In the Matter of Jason A. Hartsock Proposed Findings of Fact Conclusions of Law and Order
07-19-2004 In the Matter of Lisa Spees Proposed Findings of Fact Conclusions of Law and Order
07-18-2004 Perdue Steven A. Cleveland OH Allegation: Failure to notify of other states action; providing incorrect information on license application; Resolution: Order: License revoked Date of Order/Settlement: 2004-07-19 00:00:00
07-14-2004 Spees Lisa Keokuk IA Allegation: Using fraudulent or dishonest practices; failure to cooperate Resolution: Order: License revoked Date of Order/Settlement: 2004-07-15 00:00:00
07-12-2004 In the Matter of Mervin Duane Hague; Nutrition And Wellness Research Institute Inc. Cease and Desist Order and Consent to Cease and Desist Order Final
07-12-2004 In the Matter of David Markowitz; Blue Square Management Inc Cease and Desist Order Final
07-11-2004 In the Matter of Sterling Blackthorn Inc.; Scott Machuta Cease and Desist Order Final
07-11-2004 Koch Edward T. Holy Cross IA Allegation: Failure to pay child support Resolution: License suspended 9/1/04 SUSPENSION WITHDRAWN Date of Order/Settlement: 2004-07-12 00:00:00
07-11-2004 Trawick Daryl C. Mobile AL Allegation: Failure to report other states actions. Resolution: Consent: Pay $250 fine and $100 costs; agrees to follow all Iowa statutory and administrative requirements and only sell insurance products approved for use by admitted insurance companies. Date of Order/Settlement: 2004-07-12 00:00:00
07-01-2004 In the Matter of Barbara Jean (Hatinger) Fischer Cease and Desist Order and Consent to Cease and Desist Order and Agreement Final
07-01-2004 Fischer Barbara Jean (Hatinger) Cedar Falls IA Allegation: Sold unregistered securities; acted as an unregistered agent; misrepresented and omitted material facts. Resolution: Consent: Cease and desist the offer or sale of unregistered securities; acting as an agent without registration; making untrue statement of material facts; omitting material facts in the sale of securities assessed $4000 Fine and $100 Costs. Date of Order/Settlement: 2004-07-02 00:00:00
06-30-2004 Nutrition and Wellness Research Institute Inc. (NWRI) Evansdale IA Allegation: Misrepresentation; sale of unregistered non exempt securities; employing unregistered agents; made untrue statements of material facts; omissions of material facts in the sale. Resolution: Orders: Cease and desist the offer or sale of unregistered non exempt securities employing unregistered agents to solicit in Iowa making untrue statements of material facts; omission of material facts. Date of Order/Settlement: 2004-07-01 00:00:00
06-30-2004 Hague Mervin Duane Evansdale IA Allegation: Unregistered agent; misrepresentations; omissions of material facts in the sale of securities. Resolution: Order: Cease and desist the offer or sale of unregistered non exempt securities; acting as securities agent without registration in Iowa; making untrue statements; omitting material facts. Date of Order/Settlement: 2004-07-01 00:00:00
06-23-2004 Hartsock Jason A. Iowa City IA Allegation: Failure to disclose any prior criminal history Resolution: Order: Iowa Insurance license revoked. Date of Order/Settlement: 2004-06-24 00:00:00
06-23-2004 Dodd Lorenzo Cedar Rapids IA Allegation: Failure to disclose all criminal convictions on application Resolution: Order: Denial of application for an linsurance license is upheld. Date of Order/Settlement: 2004-06-24 00:00:00
06-22-2004 In the Matter of Pekin Insurance Company Order and Consent to Order Final