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
05-07-2003 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
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
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
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
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
03-16-2003 In the Matter of Douglass Keigley also known as Pete Keigley Cease and Desist Order Final
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
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
03-05-2003 In the matter of Global Pictures Inc.; Michael Rich; Robert Nittolo Cease and Desist Order Final
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
02-22-2003 In the Matter of American Metals Company Joseph Vasconcelos Cease and Desist Order Final
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
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
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
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
02-10-2003 Barnett Robert R. Salem IA Allegation: Sale of unregistered securities and/or unregistered business opportunities Resolution: Consent signed: 1 yr. probation; repay all commissions and/or finders fee payments $1400. Date of Order/Settlement: 2003-02-10 00:00:00
02-10-2003 Golden American Life Insurance Company West Chester PA Allegation: Violations of right to return life insurance policy or annuity (free look). Resolution: Consent: Refund to consumers of difference in premium; Pay $1000 Costs; Compliance. Date of Order/Settlement: 2003-02-10 00:00:00
02-10-2003 Priest Harry A. Avoca IA Allegation: Sale of unregistered securities and/or business opportunities Resolution: Consent signed: 1 yr probation; restitution to investors of $8400; sell only approved insurance or securities products. Date of Order/Settlement: 2003-02-10 00:00:00
02-07-2003 In the Matter of Terry Frey Statement of Charges  
02-07-2003 Christian Kevin M. Des Moines IA Allegation: Failure to notify of other states actions; accepting insurance business from unlicensed persons; Resolution: Consent Signed: 2 year license probation; Pay Reimbursement of $300; $500 Fine; Sales restrictions Date of Order/Settlement: 2003-02-07 00:00:00
02-06-2003 In the Matter of Principal Resources Inc. New Vision Financial LLC Vision South RLLPs and Frederick A. Howard Agreement Order and Consent to Agreement and Order Final
01-17-2003 In the Matter of Dennis T. Siamis Statement of Charges  
01-16-2003 Denney Janis I. Mount Ayr IA Allegation: Misappropriation of premiums Resolution: Consent: License revocation; cooperate with the IID investigation Date of Order/Settlement: 2003-01-16 00:00:00
01-10-2003 In the Matter of Pasquale Vitucci Samuel Shanks and Log Point Technologies Inc. Cease and Desist Order  
01-07-2003 In the Matter of Stacy MacDonald Agreement Order and Consent to Agreement and Order Final
01-07-2003 MacDonald Stacy Scranton IA Allegation: Sale of unregistered securities by unregistered agentl omissions of material facts in the sale of securities. Resolution: Consent: 1 yr probation of insurance license; Payment to Bureau as settlement of disputed claims $10161.11 Date of Order/Settlement: 2003-01-07 00:00:00
01-03-2003 In the Matter of Signature Oil Corporation Cease and Desist Order Final
12-24-2002 Wright Curtis M. Waterloo IA Allegation: Failure to pay child support Resolution: License suspended Date of Order/Settlement: 2002-12-24 00:00:00
12-16-2002 Transamerica Occidental Life Insurance Company Los Angeles CA Allegation: Failure to respond to Insurance Division inquiry Resolution: Consent signed: Provide response; Paid $500 Fine; $100 Costs Date of Order/Settlement: 2002-12-16 00:00:00
12-02-2002 In the Matter of the October 22 2002 Rate Filing by NCCI Order