Administrative Orders and Actions

Post date Matter Order Status
02-20-2002 Puget Sound Agricultural Society Arbuckle CA Allegation: Conducting business of insurance in Iowa without a license; other states actions. Resolution: Order on Default: Order to Cease and Desist issued on 1/22/02 is final; Cease and desist from the offer or sale of and operation of unauthorized insurer; $50000 civil penalty Date of Order/Settlement: 2002-02-20 00:00:00
02-15-2002 Montgomery Carla S. Medical Lake WA Allegation: Failure to notify of prior actions Resolution: Consent Signed: $100 Fine; $100 Costs Date of Order/Settlement: 2002-02-15 00:00:00
02-15-2002 Huebner Daniel W. Grinnell IA Allegation: Replacement violations; receiving commissions without company appointment; Omissions from insurance applications Resolution: Order: Cease and Desist from further violation; $800 Fine; $500 Costs Date of Order/Settlement: 2002-02-15 00:00:00
02-11-2002 In the Matter of Health Maintenance Centers Inc. Kevin L. Lawrence and Znetix Inc. Cease and Desist Order Final
02-11-2002 Cabell Douglas J. Bettendorf IA Allegation: Advertising Violations Resolution: Consent Signed: 2 yrs probation; $500 Costs Date of Order/Settlement: 2002-02-11 00:00:00
02-08-2002 Schatz Kenneth C. Sioux City IA Allegation: Failure to report criminal prosecution Resolution: Consent Signed: If convicted of any criminal offense greater than a misdemeanor subsequent to this order license will be automatically revoked Date of Order/Settlement: 2002-02-08 00:00:00
02-04-2002 In the Matter of James Duncan Cease and Desist Order Final
02-01-2002 In the Matter of Thomas Marshall Swartwood Order and Consent to Order and Agreement Final
02-01-2002 In the Matter of Ritalee Shapiro aka Ritalee Archer Cease and Desist Order Final
01-22-2002 In the Matter of Ronald Homer Andersen Cease and Desist Order  
01-17-2002 Nunnikhoven Carl F. Oskaloosa IA Allegation: Replacement violations Resolution: Consent Signed: 1 yr probation; $750 Fine; $250 Costs Date of Order/Settlement: 2002-01-17 00:00:00
01-14-2002 Employers Mutual LLC Carson City NV Allegation: Unauthorized business of insurance Resolution: Order signed: Cease and Desist doing business of insurance; $50000 Fine Date of Order/Settlement: 2002-01-14 00:00:00
01-02-2002 In the Matter of Trophy Bound Inc. and Harold E. Selby Cease and Desist Order Final
11-28-2001 American Gen. Assur. Co. Schaumburg IL Allegation: Failure to respond to Division inquiry Resolution: Consent Signed: Provide a response; $500 Fine $100 Costs Date of Order/Settlement: 2001-11-28 00:00:00
11-16-2001 Andersen Elizabeth J. Fort Dodge IA Allegation: Prior disciplinary action Resolution: Consent Signed: Licensure permanently restricted to Qualification 16 personal lines; work subject to regular review by licensed producer. Date of Order/Settlement: 2001-11-16 00:00:00
11-07-2001 Ayala Adriane Savannah GA Allegation: Failure to report prior disciplinary action Resolution: Order: License suspended until $400 Fine and $100 Costs paid Date of Order/Settlement: 2001-11-07 00:00:00
10-22-2001 Lincoln Benefit Life Co. Northbrook IL Allegation: Failure to respond to Division inquiry Resolution: Consent Signed: Provide a response; $500 Fine; $100 Costs Date of Order/Settlement: 2001-10-23 00:00:00
10-22-2001 Mills Dwight L. Allegation: Improper Sales Resolution: Consent Signed: Permanent License Revocation Date of Order/Settlement: 2001-10-23 00:00:00
09-24-2001 Courtney Mark A. Guthrie Center IA Allegation: Improper Sales Resolution: Consent Signed: Permanent license revocation Date of Order/Settlement: 2001-09-25 00:00:00
09-24-2001 General Cas. Co of WI Sun Prairie WI Allegation: Failure to respond Resolution: Consent Signed: Respond to Division inquiries; $500 Fine; $100 Costs Date of Order/Settlement: 2001-09-25 00:00:00
09-24-2001 Herrera Sharon S. West Des Moines IA Allegation: Unsuitable Sales; Unfair Trade practices Resolution: Consent Signed: 2 yr. Probation; Cease and Desist from violations; Date of Order/Settlement: 2001-09-25 00:00:00
09-24-2001 Herrera Richard L. West Des Moines IA Allegation: Unsuitable Sales; Unfair trade practices Resolution: Consent Signed: 2 yr. Probation; Cease and Desist from violations Date of Order/Settlement: 2001-09-25 00:00:00
09-24-2001 Kiegley Douglass Adel IA Allegation: Alleged Sale of Unregistered Securities Resolution: Consent Signed: Permanent Revocation of License Date of Order/Settlement: 2001-09-25 00:00:00
09-24-2001 Ross Michael J Hopkinton IA Allegation: Improper Sales Resolution: Consent Signed: Permanent license revocation Date of Order/Settlement: 2001-09-25 00:00:00
09-04-2001 Hedges Dawn M. Cedar Rapids IA Allegation: Failure to report criminal action Resolution: Order Signed: License suspended; $500 Fine; $100 Costs Date of Order/Settlement: 2001-09-05 00:00:00
09-04-2001 Erwin Gary Davenport IA Allegation: Failure to pay penalty & costs from previous actions Resolution: Consent Signed: Revocation of license until penalty and costs paid Date of Order/Settlement: 2001-09-05 00:00:00
09-04-2001 Rudnicki Jeffrey A. Marion IA Allegation: Unauthorized signature on application Resolution: Order Signed: Revocation of License; $200 Fine; $100 Costs Date of Order/Settlement: 2001-09-05 00:00:00
08-27-2001 In the matter of the application of PRINCIPAL MUTUAL HOLDING COMPANY for approval of a plan of conversion from a mutual insurance holding company into a stock company Findings of fact conclusions of law and order
07-09-2001 Hrdlicka Raymond W. Fremont CA Allegation: Failure to notify of other state’s action Resolution: Consent Signed: License revoked for 10 years; $200 Fine; $100 Costs Date of Order/Settlement: 2001-07-10 00:00:00
07-09-2001 Pleggenkuhle Jason E. Des Moines IA Allegation: Failure to notify of other administrative action Resolution: Consent Signed: Permanent License revocation Date of Order/Settlement: 2001-07-10 00:00:00
06-18-2001 Huff Sr. Roland L. Des Moines IA Allegation: Replacement violations Resolution: Consent signed: Cease and desist; $500 Costs Date of Order/Settlement: 2001-06-19 00:00:00
06-17-2001 Johnson Mark W. Sparta WI Allegation: Unsuitable sales; duplication of coverage Resolution: Order signed: License revoked permanently and forevermore Date of Order/Settlement: 2001-06-18 00:00:00
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