Administrative Orders and Actions

Post date Matter Order Status
09-29-2009 In re the Matter of Conseco Life Insurance Company Stipulation and Standstill Agreement Regarding Summary Cease and Desist Order Final
09-28-2009 In the Matter of Daniel William Kemper Default Decision Final
09-28-2009 Kemper Daniel Hallsville MO Allegation: Misleading sales presentations; Misrepresenting the terms of a contract; demonstrating incompetence in the conduct of business; Failing to cooperate with an investigation. Resolution: Default decision issued and license revoked. Date of Order/Settlement: 2009-09-29 00:00:00
09-08-2009 In re the application of AMERICAN INVESTORS LIFE INSURANCE COMPANY INC for Approval of a Plan of Merger with AVIVA LIFE AND ANNUITY COMPANY Findings of Fact Conclusions of Law and Order Final
09-08-2009 In re the application of NIPPON LIFE INSURANCE COMPANY OF AMERICA for approval of an Assumption Agreement with MADISON NATIONAL LIFE INSURANCE COMPANY Findings of Fact Conclusions of Law and Order Final
09-07-2009 In the Matter of Prosper Marketplace Inc Administrative Consent Order Final
09-03-2009 In the Matter of John D Kouri Order and Consent to Order Final
09-03-2009 Kouri John Urbandale IA Allegation: Forgery Resolution: Consent Order and monetary penalty Date of Order/Settlement: 2009-09-04 00:00:00
09-02-2009 In the Matter of Michael Roling Consent Order Final
08-31-2009 In the Matter of William Lehmann Cease and Desist Order Final
08-27-2009 In the Matter of Merrill Lynch Pierce Fenner & Smith Inc Administrative Consent Order Final
08-27-2009 In the Matter of RBC Capital Markets Corporation Administrative Consent Order Final
08-27-2009 In the Matter of application of GPFT HOLDCO LLC GUGGENHEIM CAPITAL LLC and CHARLES A. SAMMONS 1987 CHARITABLE REMAINDER TRUST 2 for approval of a plan to acquire control of WELLMARK COMMUNITY INSURANCE INC. Findings of Fact Conclusions of Law and Order Final
08-19-2009 In the Matter of Banc of America Securities LLC and Banc of America Investment Services Inc Administrative Consent Order Final
08-18-2009 In the Matter of Marshall Cemetery Association dba Riverside Cemetery Voluntary Settlement and Consent Order Final
08-18-2009 Marshall Cemetery Association d/b/a Riverside Cemetery Marshalltown IA Allegation: submitted verification that it repaid interest mistakenly withdrawn. Resolution: Voluntary Settlement and Consent Order issued. Date of Order/Settlement: 2009-08-19 00:00:00
08-12-2009 In the Matter of All American Homes of Iowa LLC Order and Consent to Order Final
08-12-2009 In the Matter of Roger D Ball Order and Consent to Order Final
08-12-2009 All American Homes of Iowa LLC Middlebury IN Allegation: Failed to timely file Resolution: Consent Order issued and monetary penalty assessed. Date of Order/Settlement: 2009-08-13 00:00:00
08-12-2009 Ball Roger Blair NE Allegation: Failed to disclose previous administrative actions in his applications to become a non-resident Iowa Insurance producer. Resolution: Consent Order issued and monetary penalty assessed. Date of Order/Settlement: 2009-08-13 00:00:00
08-11-2009 In the Matter of Sherwin Hesebeck Order and Consent to Order Final
08-11-2009 Hesebeck Sherewin Sheldon IA Allegation: Altered insurance policy applications and altered client premium checks. Resolution: Order and Consent to Order issued and monetary penalty assessed. Insurance producer license suspended for 180 days. Date of Order/Settlement: 2009-08-12 00:00:00
08-02-2009 In the Matter of James Healey Order and Consent to Order and Agreement Final
07-30-2009 In the Matter of Stephen Wiley Summary Cease and Desist Order Final
07-30-2009 In the Matter of James H Opheim Order of Summary Suspension Order to Cease and Desist and Revocation Final
07-30-2009 Opheim James Spencer IA Allegation: Misappropriation of funds Resolution: Summary suspension Order to Cease and Desist and Revocation Date of Order/Settlement: 2009-07-31 00:00:00
07-30-2009 Wiley Stephen St. Louis Missouri Allegation: Unlicensed agent Resolution: Summary Cease and Desist Order issued Date of Order/Settlement: 2009-07-31 00:00:00
07-29-2009 In the Matter of Wachovia Secutities LLC and Wachovia Capital Markets LLC Administrative Consent Order Final
07-29-2009 In the Matter of Conseco Life Insurance Company Stipulation Further Extending Standstill Agreement Regarding Summary Cease and Desist Order Final
07-20-2009 In the Matter of Justin L Fox Lift of License Suspension and Eligibility for Licensure in State of Iowa Final
07-20-2009 In the Matter of Elizabeth J Anderson Amendment to Order and Consent to Order Final
07-20-2009 Andersen Elizabeth Fort Dodge IA Allegation: Reconsideration Resolution: Amendment to Order and Consent to Order Date of Order/Settlement: 2009-07-21 00:00:00
07-19-2009 In the Matter of Citigroup Global Markets Inc Administrative Consent Order Final
07-09-2009 In the Matter of Michael Bark Cease and Desist order Final
07-09-2009 Bark Michael Gretna Louisiana Allegation: Unregistered agent; unregistered securities; misrepresentations and omissions. Resolution: Cease and Desist order issued and monetary penalty assessed. Date of Order/Settlement: 2009-07-10 00:00:00
07-08-2009 In the Matter of Jerald Lee Woods Default Order Final
07-08-2009 In the Matter of Jeannie Marie McNeal Order for Suspension Final
07-08-2009 Woods Jerald Lee Elizabethtown KY Allegation: Unregistered agent; unregistered securities Resolution: Default Order issued with an assessed monetary penalty. Date of Order/Settlement: 2009-07-09 00:00:00
07-08-2009 McNeal Jeannie M. Cedar Rapids IA Allegation: Child Support Violation Resolution: Order for Suspension issued. Date of Order/Settlement: 2009-07-09 00:00:00
07-07-2009 In the Matter of Travis Wilcox Proposed Decision Final
07-07-2009 Wilcox Travis Ankeny IA Allegation: Failing to comply with the terms of a consent order issued by the Insurance Commissioner Resolution: Proposed Decision issued and monetary penalty assessed. Date of Order/Settlement: 2009-07-08 00:00:00
06-24-2009 In re the application of CGC LIFE INSURANCE COMPANY for approval of a Plan of Merger with TRANSAMERICA PACIFIC INSURANCE COMPANY LTD Findings of Fact Conclusions of Law and Order (Iowa Code §521.8) Final
06-17-2009 In the Matter of Kristina L Hammes Order for Suspension Final
06-17-2009 In the Matter of Eric M Parks Order for Suspension Final
06-17-2009 Hammes Kristina North Liberty IA Allegation: Failure to pay child support Resolution: Order for Suspension issued. Date of Order/Settlement: 2009-06-18 00:00:00
06-17-2009 Parks Eric Pacific Junction IA Allegation: Failure to pay child support Resolution: Order for Suspension issued. Date of Order/Settlement: 2009-06-18 00:00:00
06-14-2009 Knall David Wells Indianapolis IN Allegation: Summary Order Denying Application for Securities Agent License Resolution: Order Vacating Denial of Securities Agent License Date of Order/Settlement: 2009-06-15 00:00:00
05-28-2009 Pierce Judith Independence IA Allegation: Used funds to pay herself and certain persons funds to which they were not entitled and failed to follow a direct Order of the Commissioner. Resolution: Consent Order issued and Producer License surrendered. Date of Order/Settlement: 2009-05-29 00:00:00
05-26-2009 Cillo Mark Saint Louis MO Allegation: Summary Cease and Desist Order Resolution: Order Vacating Summary Cease and Desist Order Date of Order/Settlement: 2009-05-27 00:00:00
05-26-2009 Cillo Mark Saint Louis MO Allegation: Misrepresentation Resolution: Order Vacating Summary Cease and Desist Order Date of Order/Settlement: 2009-05-27 00:00:00