Administrative Orders and Actions

Post date Matter Order Status
06-04-2001 Stephens Dennis M. Lake Mills IA Allegation: Marketing and sales violations Resolution: Consent Signed: Use only approved marketing materials; repay personal loans; 2 yrs probation; Date of Order/Settlement: 2001-06-05 00:00:00
05-30-2001 Murphy Liliana San Antonio TX Allegation: Failure to notify of other state’s actions; Failure to respond Resolution: Order signed: License revoked; $200 Fine; $100 Costs Date of Order/Settlement: 2001-05-31 00:00:00
04-30-2001 Barth Douglas N Independence IA Allegation: Misappropriation of premiums Resolution: Order signed: License permanently revoked Date of Order/Settlement: 2001-05-01 00:00:00
04-29-2001 Lavin Larry Milford IA Allegation: Failure to respond to Division inquiries Resolution: Consent Signed: 1 yr probation; certify compliance with insurance laws and regulations; Cease and Desist; Costs: $1000 Date of Order/Settlement: 2001-04-30 00:00:00
04-04-2001 Raines John E. Fairfield IA Allegation: Marketing and sales violations Resolution: Consent Signed: Cease and desist; 2 yrs probation; assist IID’s investigation; Return 10% of investment to clients Date of Order/Settlement: 2001-04-05 00:00:00
03-20-2001 Mollin Harold P. Manhasset NY Allegation: Failure to report administrative action Resolution: Order: License revoked Date of Order/Settlement: 2001-03-20 00:00:00
03-12-2001 John Hancock Life Ins. Co. Boston MA Allegation: Failure to respond Resolution: Consent signed: Agrees to respond to Division inquiries; $1000 Fine and Costs Date of Order/Settlement: 2001-03-12 00:00:00
02-28-2001 Kolbe Joseph R. Bradenton FL Allegation: Unsuitable Sales & Twisting Resolution: Consent signed: 2 yrs probation; $2500 Fine; $750 Costs Date of Order/Settlement: 2001-02-28 00:00:00
02-28-2001 Spencer Robert O. Allegation: Replacement violations; suitability sales Resolution: Consent signed: 2 yrs probation; $500 Costs; reimburse client surrender charges Date of Order/Settlement: 2001-02-28 00:00:00
01-05-2001 Thole John M. Iowa City IA Allegation: Failure to report administrative action Resolution: Order: License suspended; $500 Fine; $100 Costs; Report action to Division Date of Order/Settlement: 2001-01-05 00:00:00
11-13-2000 Parker Jay A. Cicero IL Allegation: Failure to respond to Ins. Div.; Failure to report Administrative Action Resolution: Order: License Suspended; $500 Fine; $100 Costs; provide a complete response and pay fine and costs. Date of Order/Settlement: 2000-11-13 00:00:00
10-24-2000 Preszler Carol V. Aberdeen SD Allegation: Failure to respond to Ins. Div.; Failure to report Administrative Action Resolution: Consent Signed: License revocation Date of Order/Settlement: 2000-10-25 00:00:00
09-07-2000 Barry Joseph D. Adel IA Allegation: Unlicensed producer Resolution: Consent signed: Cease and Desist in the sale of insurance; agrees not to reapply for a license Date of Order/Settlement: 2000-09-08 00:00:00
08-27-2000 Mid-West Nat’l Life Ins. Co. of TN Dallas TX Allegation: Failure to respond Resolution: Consent: Respond to Division inquiries; $500 Fine; $100 Costs Date of Order/Settlement: 2000-08-28 00:00:00
08-15-2000 Raymond Daniel R. Kansas City MO Allegation: Failure to report criminal prosecution Resolution: Order Signed: License revoked Date of Order/Settlement: 2000-08-16 00:00:00
08-15-2000 Cahill Amy C. Bath PA Allegation: Failure to respond Resolution: Order Signed: License Suspended; $500 Fine; $100 Costs; Respond to Division Date of Order/Settlement: 2000-08-16 00:00:00
07-11-2000 Bray Rebecca A Orange City IA Allegation: Failure to respond Resolution: Order Signed: License Suspended; $500 Fine; $100 Costs; Respond to Division Date of Order/Settlement: 2000-07-12 00:00:00
07-06-2000 Smith Jr. Herman Des Moines IA Allegation: Failure to respond Resolution: Consent Signed: License Revocation Date of Order/Settlement: 2000-07-07 00:00:00