Administrative Orders and Actions

Post date Matter Order Status
07-31-2003 Kibbee Jason L. Kellogg IA Allegation: Misappropriation of Client Funds; Lack of character and competency Resolution: Order: License permanently revoked. Date of Order/Settlement: 2003-08-01 00:00:00
07-31-2003 Fritsch DeAnn Neola IA Allegation: Misappropriation Resolution: Consent signed: Revocation of Iowa Producer License; permanently barred from reapplying for licensure in the Iowa Date of Order/Settlement: 2003-08-01 00:00:00
07-29-2003 Freese Jason C. Altoona IA Allegation: Intentional misrepresentation of proposed insurance contract; using faudulent coercive or dishonest business practices; failure to cooperate. Resolution: Consent signed: 2 Year supervised probation; May not sell solicit or negotiate contracts during probationary period; submit quarterly reports; subject to reviews; Cooperate with Divisions investigations; pay $1600 Costs Date of Order/Settlement: 2003-07-30 00:00:00
07-22-2003 Johnson Daniel H. Chariton IA Allegation: Violation of Commissioners Order; Dishonest Practices and Incompetence Resolution: Order: Insurance producer license suspended indefinitely; Suspension not lifted until the obligations are current or otherwise resolved. Date of Order/Settlement: 2003-07-23 00:00:00
07-20-2003 Bacon Jerry A. Fort Dodge IA Allegation: Improper sales of insurance products Resolution: Consent signed: Cease and desist from further violations; 2 years probation; report consumer complaints; pay cost of $5000. Date of Order/Settlement: 2003-07-21 00:00:00
07-15-2003 Schatz Kenneth C. Sioux City IA Allegation: Violation of previous order Resolution: Consent:License revoked Date of Order/Settlement: 2003-07-16 00:00:00
07-10-2003 In the Matter of Ocean International Marketing Ltd; Seed International Ltd Cease and Desist Order Final
07-02-2003 Roche Michael J. Madison WI Allegation: License application disclosures Resolution: Consent signed: Pay $500 fine Date of Order/Settlement: 2003-07-03 00:00:00
07-02-2003 NCMIC Insurance Company Des Moines IA Allegation: Failure to file notice of dividends Resolution: Consent signed: List dividends from 1/1/00 to present; Report list of dividends to shareholders within timeframe parameters of declaration; Pay $1500 Fine; $500 Costs Date of Order/Settlement: 2003-07-03 00:00:00
07-01-2003 Union Security Life Insurance Company Atlanta GA Allegation: Failure to cooperate with Commissioners investigation Resolution: Consent signed: Provide requested information; Pay $500 Fine; Pay $100 Costs Date of Order/Settlement: 2003-07-01 00:00:00
06-29-2003 In the matter of the application of NATIONAL TRAVELERS LIFE MUTUAL HOLDING COMPANY for approval of a plan to acquire control of EMPLOYERS MODERN LIFE COMPANY and to merge NATIONAL TRAVELERS LIFE COMPANY with and into EMPLOYERS MODERN LIFE COMPANY Findings of Fact Conclusions of Law and Order Final
06-29-2003 In the matter of the application of KANSAS CITY LIFE INSURANCE COMPANY for approval of a plan to acquire control of GUIDEONE LIFE INSURANCE COMPANY Findings of Fact Conclusions of Law and Order Final
06-29-2003 In the Matter of Nicholas Fegen and Peter Klamka Consideration of States Motion for Sanctions for Failure to Comply with Prior Order and Default Judgement Final
06-29-2003 Behnkendorf Gerald D. Algona IA Allegation: Unfair trade practices misrepresentation Resolution: Consent signed: Cease and desist from further violations; 2 years probation; Report all consumer complaints against him within 30 days; Pay $5000 Costs. Date of Order/Settlement: 2003-06-30 00:00:00
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
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
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
06-12-2003 In the Matter of Professional Employment Planners; Alan Steven Kessler Agreement Order and Consent to Agreement and Order Final
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
06-10-2003 In the matter of NATIONAL WARRANTY INSURANCE COMPANY RISK RETENTION GROUP Suspension Order Final
06-09-2003 In the matter of SC & E ADMINISTRATIVE SERVICES INC. Cease and Desist Order Final
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
06-01-2003 In the Matter of Peter C. Klamka; Legend Mobile Inc. Order and Consent to Order and Agreement Final
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
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
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
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
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
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
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
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
05-06-2003 In the Matter of Omni Advisor Group; Brian P. McGuane Agreement and Consent to Agreement Final
05-04-2003 In the matter of Homeland Energy Inc.; Homeland-Four Well Development LLP; Gregory D. Matthews Cease and Desist Order Final
04-27-2003 In the matter of Dennis T. Siamis Order and Consent To Order and Agreement Final
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
04-24-2003 In the matter of Robert Lippold Order and Consent To Order and Agreement Final
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
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
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
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
04-14-2003 In the matter of Willard Johnson Voluntary Agreement Final
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
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
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
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
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
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
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
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
03-24-2003 In the Matter of Stanley Blaue Agreement Order and Consent to Agreement and Order Final