Administrative Orders and Actions

Post date Matter Order Status
09-11-2008 In the Matter of John J. Conroy Summary Order Denying Application for Securities Agent License Final
09-11-2008 In re the application of TRANSAMERICA LIFE INSURANCE COMPANY for approval of an "Agreement of Assumption" with CENTRAL BENEFITS MUTUAL INSURANCE COMPANY and affiliate CENTRAL BENEFITS NATIONAL LIFE INSURANCE COMPANY Findings of Fact Conclusions of Law and Order Final
09-11-2008 Conroy John East Norwich NY Allegation: Prior regulatory action taken. Resolution: Summary Order Denying Application for Securities Agent License. Date of Order/Settlement: 2008-09-12 00:00:00
09-10-2008 Clem Anthony Ames IA Allegation: Sumitted a falsified proof of insurance card to Insurance Company to obtain a refund of premiums for customer. Resolution: Consent Order issued and monetary penalty assessed. Date of Order/Settlement: 2008-09-11 00:00:00
09-09-2008 In re the application of TRANSAMERICA LIFE INSURANCE COMPANY for approval of an Assumption Reinsurance Agreement with MONUMENTAL LIFE INSURANCE COMPANY Findings of Fact Conclusions of Law and Order Final
09-09-2008 In re the application of MONUMENTAL LIFE INSURANCE COMPANY for approval of an Assumption Reinsurance Agreement with UNION LABOR LIFE INSURANCE COMPANY Findings of Fact Conclusions of Law and Order Final
08-28-2008 In the Matter of Anthony Clem Order and Consent to Order Final
08-24-2008 In the Matter of Kevin Brennan Summary Order Denying Application For Securities Agent License Final
08-14-2008 In the Matter of Kevin Brennan Summary Order Denying Application For Securities Agent License Final
08-12-2008 Whirlpool Corporation Benton Harbor MI Allegation: Failure to timely file renewal. Resolution: Consent Order issued and monetary penalty assessed. Date of Order/Settlement: 2008-08-13 00:00:00
08-10-2008 In the Matter of Peter E Miover Order Affirming Proposed Decision and Denying Licensure Final
08-10-2008 Miover Peter Pilot Mound IA Allegation: Appealing Proposed Decision Denying Licensure Resolution: Order Affirming Proposed Decision and Denying Licensure Date of Order/Settlement: 2008-08-11 00:00:00
08-06-2008 In the Matter of Whirlpool Corporation Order and Consent to Order Final
08-04-2008 Barns Drew Bloomington MN Allegation: Used fraudulent coercive or dishonest practices or demonstrated incompetence untrustworthiness or financial irresponsibility in the conduct of business. Resolution: Consent Order issued and insurance producer license revoked. Date of Order/Settlement: 2008-08-05 00:00:00
08-03-2008 In the Matter of Drew Barns Order and Consent to Order Final
07-28-2008 In the Matter of The Delaware Group Order and Consent to Order Final
07-28-2008 Delaware Group (The) Allegation: Failed to timely file renewal notice fillings Resolution: Consent Order issued and monetary penalty assessed. Date of Order/Settlement: 2008-07-29 00:00:00
07-27-2008 In the Matter of Jason Schumacher and Behr Funeral Home Order and Consent to Order Final
07-20-2008 In the Matter of Charles H. Stoner Order and Consent to Order Final
07-20-2008 Stoner Charles Omaha NE Allegation: sold insurance polices for a company not licensed to do business in Iowa. Resolution: Consent Order issued and license revoked. Date of Order/Settlement: 2008-07-21 00:00:00
07-15-2008 In the Matter of Foremost Insurance Company Order and Consent to Order Final
07-15-2008 Foremost Insurance Caledonia MI Allegation: Allowed non-appointed producers to submit business. Resolution: Consent Order issued and assessed a monetary penalty. Date of Order/Settlement: 2008-07-16 00:00:00
07-14-2008 In the Matter of the Market Conduct Exam of The Mega Life & Health Ins Co Mid-West Natl Life Ins Co of TN and The Chesapeake Life Ins Co Regulatory Settlement Agreement Multi-State Regulatory Agreement Final
07-08-2008 In the Matter of Nathan J. McGraw Order and Consent to Order Final
07-08-2008 McGraw Nathan Des Moines IA Allegation: Failure to make required disclosure on insurance producer application. Resolution: Consent Order issued; granted probationary license. Date of Order/Settlement: 2008-07-09 00:00:00
07-07-2008 In re the application of TRANSAMERICA LIFE INSURANCE COMPANY for approval of an "Agreement and Plan of Merger" with LIFE INVESTORS INSURANCE COMPANY OF AMERICA Findings of Fact Conclusions of Law and Order Final
07-07-2008 In re the application of TRANSAMERICA LIFE INSURANCE COMPANY for approval of an "Agreement and Plan of Merger" with TRANSAMERICA OCCIDENTAL LIFE INSURANCE COMPANY Findings of Fact Conclusions of Law and Order Final
07-01-2008 Hawkeye Life Insurance Group West Des Moines IA Allegation: Failure to timely file annual audited reports. Resolution: Consent Order issued and assessed a monetary penalty. Date of Order/Settlement: 2008-07-02 00:00:00
06-29-2008 In the Matter of Hawkeye Life Insurance Group Inc Order and Consent to Order Final
06-23-2008 In the Matter of Victoria Automobile Insurance Company Order and Consent to Order Final
06-23-2008 Victoria Automobile Insurance Company Cleveland OH Allegation: Failure to respond Resolution: Consent Order issued and penalty assessed Date of Order/Settlement: 2008-06-24 00:00:00
06-18-2008 National Bullion Investors LLC New York NY Allegation: unlawful commodity transaction in Iowa Resolution: Consent Order issued. Date of Order/Settlement: 2008-06-19 00:00:00
06-12-2008 In the Matter of National Bullion Investors LLC / Eugene McGowan Cease and Desist Order; Order and Consent to Order Final
05-27-2008 In the Matter of Simon J. McDonald Summary Order Denying Application for Securities Agent License Final
05-27-2008 McDonald Simon Milford CT Allegation: Criminal History. Resolution: Summary Order Denying Application for Securities Agent License. Date of Order/Settlement: 2008-05-28 00:00:00
05-19-2008 In the Matter of Maria Grosvenor Order and Consent to Order Final
05-19-2008 In the Matter of John D. Young Decision Final
05-19-2008 Young John D. Grand Rapids MI Allegation: Failure to notify Division of administrative action taken against him in another jurisdiction; Failure to respond to Division inquiry. Resolution: Deafult Decision issued revoking insurance producer license. Date of Order/Settlement: 2008-05-20 00:00:00
05-19-2008 Grosvenor Maria Riverview FL Allegation: Failure to disclose a criminal conviction on license application. Resolution: Consent Order issued and a monetary penalty assessed. Date of Order/Settlement: 2008-05-20 00:00:00
05-15-2008 In the Matter of William J. Davis Order for Suspension Final
05-15-2008 Davis William J. Spirit Lake IA Allegation: Child Support Violation Resolution: Order for Suspension issued. Date of Order/Settlement: 2008-05-16 00:00:00
05-13-2008 In the Matter of Renewable Fuels Inc. Donald James McCrabb David McCrabb and Norman Nicol Order Final
05-11-2008 In the Matter of LuJean Welander Order and Consent to Order Final
05-11-2008 Welander LuJean Ann Mason City IA Allegation: Provided incorrect information on her application for an Iowa Preneed Sales Agent License and on her application for an Iowa Insurance Producer License. Resolution: Consent Order issued and was ordered to accurately answer all questions on applications and was granted a license to be a Preneed Sales Agent and an Iowa Insurance Producer. Date of Order/Settlement: 2008-05-12 00:00:00
05-05-2008 In the Matter of Morgan Stanley & Co. Inc. Consent Order Final
05-05-2008 Morgan Stanley & Co. Incorporated New York NY Allegation: Sale of Unregistered Securities Resolution: Findings of Fact Conclusions of Law Consent Order issued and a monetary penalty assessed. Date of Order/Settlement: 2008-05-06 00:00:00
05-01-2008 Veenstra Douglas Tracy IA Allegation: Appointment termination. Resolution: Consent Order issued; heightened supervision and probation for 1 year and a monetary penalty assessed. Date of Order/Settlement: 2008-05-02 00:00:00
04-30-2008 In the Matter of Aviva USA Order and Consent to Order Final
04-30-2008 AVIVA USA Des Moines IA Allegation: allow unauthorized withdrawals from annuity trust. Resolution: Consent Order issued. Date of Order/Settlement: 2008-05-01 00:00:00
04-24-2008 In the Matter of Douglas J. Veenstra Order and Consent to Order and Agreement Final