Administrative Orders and Actions

Post date Matter Order Status
05-21-2009 In the Matter of Judith Pierce Order and Consent to Order Final
05-11-2009 In the Matter of Michael Cross Proposed Decision Final
05-07-2009 In the Matter of Guttenberg Municipal Hospital Proposed Decision Pending
05-03-2009 In re the application of NIPPON LIFE LIFE INSURANCE COMPANY OF AMERICA for approval of an Assumption Agreement with COMPANION LIFE INSURANCE COMPANY Findings of Fact Conclusions of Law and Order Final
05-02-2009 In the Matter of Jan Bliek Order and Consent to Order Final
05-02-2009 In the Matter of Roy Bliek Order and Consent to Order Final
05-02-2009

Hull IA Allegation: Sale of unregistered securities; Unregistered agent Resolution: Consent Order issued to cease and desist violations. Date of Order/Settlement: 2009-05-03 00:00:00

05-02-2009 Bliek Roy Hull IA Allegation: Sale of unregistered securities; Unregistered agent Resolution: Consent Order issued to cease and desist violations. Date of Order/Settlement: 2009-05-03 00:00:00
04-30-2009 Knall David Wells Indianapolis IN Allegation: Prior regulatory action Resolution: Summary Order Denying Application for Securities Agent License. Date of Order/Settlement: 2009-05-01 00:00:00
04-29-2009 In the Matter of David Wells Knall Summary Cease and Desist Order (VACATED 6/15/09) Vacated
04-20-2009 In the Matter of Palm Beach Specialty Coffee LLC and Joseph Kelly III Proposed Decision Final
04-20-2009 In the Matter of Javabucks Inc. Palm Beach Specialty Coffee LLC John A Gravante Joseph P Kelly III Cease and Desist Order and Subpoena & Proposed Decision Final
04-15-2009 In the Matter of Physicians Life Insurance Company Decision Final
04-15-2009 In the Matter of Michael Rosen Order Vacating Denial of Securities Agent License Final
04-15-2009 In the Matter of Jack D Seibald Order Vacating Denial of Securities Agent License Final
04-09-2009 In the Matter of Bobbi J. Stasney Order and Summary Suspension and Order to Cease and Desist Final
04-09-2009 In the Matter of Jerald Lee Woods Cease and Desist Order Final
04-09-2009 Stasney Bobbi Boone IA Allegation: Criminal Proceedings Resolution: Order of Summary Suspension and Cease and Desist. Date of Order/Settlement: 2009-04-10 00:00:00
04-09-2009 Woods Jerald Elizabethtown KY Allegation: Sale of unregistered securities; Unregistered agent; Misrepresentations and Omissions. Resolution: Cease & Desist Order issued. Date of Order/Settlement: 2009-04-10 00:00:00
04-02-2009 In the Matter of James J. Healey Cease and Desist Order Final
04-02-2009 Healey James Dubuque IA Allegation: Sale of unregistered securities; Unregistered agent; Misrepresentations and Omissions. Resolution: Cease & Desist Order issued. Date of Order/Settlement: 2009-04-03 00:00:00
03-31-2009 In the Matter of Michael Hinton Proposed Decision Final
03-29-2009 In the Matter of Conseco Life Insurance Company Stipulation and Standstill Agreement Regarding Summary Cease and Desist Order Final
03-23-2009 Balboa Insurance Company Irvine CA Allegation: Failure to promptly respond to inquiries from the Commissioner Resolution: Consent Order issued and monetary penalty assessed. Date of Order/Settlement: 2009-03-24 00:00:00
03-22-2009 In the Matter of Farmers Insurance Company Order and Consent to Order Final
03-22-2009 Farmers Insurance Company Allegation: Failed to properly inform the claimant of the status of her claim and to verify whether another insurance carrier was actually responsible for the handling of the claim. Resolution: Order and Consent to Order issued and monetary penalty assessed. Date of Order/Settlement: 2009-03-23 00:00:00
03-18-2009 In the Matter of Balboa Insurance Company Order and Consent to Order Final
03-15-2009 In the Matter of Viking Insurance Company of Wisconsin Order and Consent to Order Final
03-09-2009 Viking Insurance Company of Wisconsin Stevens Point WI Allegation: Violation in claim handling Resolution: Consent Order issued and monetary penalty assessed. Date of Order/Settlement: 2009-03-10 00:00:00
03-08-2009 In the Matter of Travis M Wilcox Order and Consent to Order Final
03-08-2009 Wilcox Travis Ankeny IA Allegation: Demonstrated incompetence untrustworthiness or financial irresponsibility in the course of conducting business. Resolution: Consent Order issued and monetary penalty assessed. Date of Order/Settlement: 2009-03-09 00:00:00
03-04-2009 Joann M. Moffitt Olathe KS Allegation: Misappropriating monies; using fraudulent coercive or dishonest practices in the conduct of business; demonstrating incompetence untrustworthiness or financial irresponsibility in the conduct of business. Resolution: Order issued and a consent order issued revoking insurance producer license. Date of Order/Settlement: 2009-03-04 00:00:00
03-03-2009 In the Matter of Derek Black Summary Cease and Desist Order Final
03-03-2009 Black Derek Osage Beach MO Allegation: Violated Iowa Insurance Trade Practices Act Resolution: Summary Cease & Desist Order Date of Order/Settlement: 2009-03-03 00:00:00
02-10-2009 In the Matter of Mark Cillo Summary Cease and Desist Order (VACATED 5-27-09) Vacated
02-10-2009 Cillo Mark Saint Louis MO Allegation: Violated Iowa Insurance Trade Practices Act Resolution: Summary Cease and Desist Order. Date of Order/Settlement: 2009-02-10 00:00:00
02-09-2009 In the Matter of Joseph Michael Scarborough Summary Order Denying Application for Securities Agent License Final
02-06-2009 In the Matter of Jack D Seibald Summary Order Denying Application for Securities Agent License Final
02-06-2009 In the Matter of Michael Scott Rosen Summary Order Denying Application for Securities Agent License Final
02-06-2009 Seibald Jack Hewlett Harbor NY Allegation: Prior regulatory action Resolution: Summary Order Denying Application for Securities Agent License. Date of Order/Settlement: 2009-02-06 00:00:00
02-06-2009 Rosen Michael Scarsdale NY Allegation: Prior regulatory action Resolution: Summary Order Denying Application for Securities Agent License. Date of Order/Settlement: 2009-02-06 00:00:00
02-05-2009 In re Chubb Corporation et al Multi-State Regulatory Agreement Final
02-05-2009 In the Matter of Joann Moffit Order Final
01-23-2009 Trenwick American Reinsurance Corporation Fairfield CT Allegation: Failure to respond Resolution: Consent issued and monetary penalty assessed. Date of Order/Settlement: 2009-01-23 00:00:00
01-21-2009 In the Matter of Mark Geertsma Consent Order Final
01-21-2009 Geertsma Mark Independence IA Allegation: Engaged in dishonest and unethical practices in the securities and investment business. Resolution: Consent Order issued and monetary penalty assessed. Date of Order/Settlement: 2009-01-21 00:00:00
01-20-2009 In the Matter of Trenwick America Reinsurance Corporation Order and Consent to Order Final
01-16-2009 In the Matter of Bruce Bergen Decision Final
01-16-2009 Bergen Bruce Marion IA Allegation: Failure to Respond to Division Inquiries Resolution: Decision issued and a monetary penalty assessed. Date of Order/Settlement: 2009-01-16 00:00:00
01-14-2009 Scarborough Joseph Michael Prince Frederick MD Allegation: Prior regulatory action Resolution: Summary Order Denying Application for Securities Agent License. Date of Order/Settlement: 2009-01-14 00:00:00