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06-11-2007 |
In the Matter of Stephan Kerby |
Order and Consent to Order |
Final |
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06-11-2007 |
Kerby Stephan |
Clive IA
Allegation: Advertising violation.
Resolution: Order and Consent to Order signed; Civil penalty assessed.
Date of Order/Settlement: 2007-06-12 00:00:00 |
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06-10-2007 |
In the Matter of Mark Bakker |
Order and Consent to Order |
Final |
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06-10-2007 |
Bakker Mark |
Urbandale IA
Allegation: Misrepresented the terms of a life insurance policy to an Iowa resident.
Resolution: Consent Order signed. Civil penalty and costs assessed.
Date of Order/Settlement: 2007-06-11 00:00:00 |
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06-04-2007 |
In the Matter of Nationwide Life Insurance Co. |
Order and Consent to Order |
Final |
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06-04-2007 |
Nationwide Life Insurance Company |
Columbus OH
Allegation: Failure to cooperate in an invesitigation.
Resolution: Consent Order - Civil penalty and costs imposed and response received for the Divisions inquiries.
Date of Order/Settlement: 2007-06-05 00:00:00 |
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05-28-2007 |
In the Matter of Carl Davis |
Order and Consent to Order |
Final |
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05-28-2007 |
In the Matter of Garlon Maxwell |
Order and Consent to Order |
Final |
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05-28-2007 |
In the Matter of Amber Maxwell |
Order and Consent to Order |
Final |
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05-28-2007 |
In the Matter of Richard Duffin |
Order and Consent to Order |
Final |
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05-28-2007 |
In the Matter of Perry Comeau |
Order and Consent to Order |
Final |
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05-28-2007 |
In the Matter of Lincoln Benefit Life Company |
Order and Consent to Order |
Final |
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05-28-2007 |
Duffin Richard |
Lehi UT
Allegation: Unregistered investment advisor and representative.
Resolution: Consent Order signed and civil penalty assessed.
Date of Order/Settlement: 2007-05-29 00:00:00 |
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05-28-2007 |
Maxwell Garlon |
Pleasant Grove UT
Allegation: Unregistered investment advisor.
Resolution: Consent Order signed and civil penalty assessed.
Date of Order/Settlement: 2007-05-29 00:00:00 |
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05-28-2007 |
Lincoln Benefit Life Company |
Lincoln NE
Allegation: Failure to cooperate in an investigation by the Commissioner.
Resolution: Consent Order - Civil penalty and costs imposed and response received for the Divisions inquiries.
Date of Order/Settlement: 2007-05-29 00:00:00 |
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05-28-2007 |
Davis Carl |
West Des Moines IA
Allegation: Advertising Violations
Resolution: Order and Consent to Order - placed on probation for a period of six months; Civil penalty and costs imposed.
Date of Order/Settlement: 2007-05-29 00:00:00 |
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05-20-2007 |
In the Matter of Vernon Wayne Cooper |
Order and Consent to Order and Agreement |
Final |
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05-20-2007 |
Comeau Perry |
Oelwein IA
Allegation: Unregistered investment advisor and representative.
Resolution: Consent Order signed and civil penalty assessed.
Date of Order/Settlement: 2007-05-21 00:00:00 |
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05-20-2007 |
Cooper Vernon |
Rochester MN
Allegation: Plead guilty to criminal charges.
Resolution: Consent Order - producer license is revoked and Cooper is permanently barred from reapplying.
Date of Order/Settlement: 2007-05-21 00:00:00 |
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05-09-2007 |
In the Matter of Louis J. Roi |
Order and Consent to Order |
Final |
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05-09-2007 |
In the Matter of Christine Lueders |
Order and Consent to Order |
Final |
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05-09-2007 |
Lueders Christine |
Deer Park IL
Allegation: Surplus Violations.
Resolution: Consent Order signed and civil penalty assessed.
Date of Order/Settlement: 2007-05-10 00:00:00 |
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05-09-2007 |
Roi Louis |
Naperville IL
Allegation: Surplus Violations.
Resolution: Consent Order signed and civil penalty assessed.
Date of Order/Settlement: 2007-05-10 00:00:00 |
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05-02-2007 |
Skaggs Christopher |
Iowa City IA
Allegation: Failure to disclose criminal history.
Resolution: Order and Consent to Order; Civil penalty.
Date of Order/Settlement: 2007-05-03 00:00:00 |
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04-22-2007 |
In the Matter of Thomas K. Anderson |
Order for Suspension |
Final |
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04-22-2007 |
In the Matter of Luminar Media Corporation and Michael C. Woodman A/K/A Jesse Dylan |
Cease and Desist Order |
Final |
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04-22-2007 |
Anderson Thomas K |
Davenport IA
Allegation: Failure to comply with Other State Agency - DHS; Non-compliance w/order of Child Support.
Resolution: Iowa Insurance Producer License suspended.
Date of Order/Settlement: 2007-04-23 00:00:00 |
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04-12-2007 |
In the Matter of National Foundation of America Richard K. Olive and Luis S. Moscoso |
Cease and Desist Order |
Issued |
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04-08-2007 |
In the Matter of Adam N. Schadt |
Decision |
Final |
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04-08-2007 |
Goering Wendy |
Boone IA
Allegation: Failure to disclose criminal history.
Resolution: Decision - Ordered to pay civil penalty.
Date of Order/Settlement: 2007-04-09 00:00:00 |
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04-02-2007 |
In the Matter of Wendy D. Goering |
Decision |
Final |
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04-02-2007 |
Schadt Adam |
Green Bay WI
Allegation: Failure to respond
Resolution: Default decision - Revoked producer license; Civil penalty of $500 and Costs of $250.
Date of Order/Settlement: 2007-04-03 00:00:00 |
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04-01-2007 |
In the Matter of Lucas M. Fischer |
Order for Suspension |
Final |
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04-01-2007 |
Fischer Lucas |
Newton IA
Allegation: Child Support Violation.
Resolution: Order for suspension of insurance producer license.
Date of Order/Settlement: 2007-04-02 00:00:00 |
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03-20-2007 |
In the Matter of Conseco Life Insurance Company |
Order and Consent to Order |
Final |
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03-20-2007 |
Conseco Life Insurance Co |
Allegation: Failure to respond to company exam relating to the use of R-Factor in policies.
Resolution: Consent Order - Civil penalty $725000 and costs assessed.
Date of Order/Settlement: 2007-03-21 00:00:00 |
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03-14-2007 |
In the Matter of Bankers Life & Casualty Company |
Order and Consent to Order |
Final |
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03-14-2007 |
In the Matter of Success Trust and Holding LLC and A. Paul Reynolds |
Cease and Desist Order |
Final |
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03-14-2007 |
Reynolds Archie Paul |
Simpsonville SC
Allegation: Acting as an unregistered securities agent; Sale of unregistered security.
Resolution: Cease and Desist Order issued.
Date of Order/Settlement: 2007-03-15 00:00:00 |
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03-14-2007 |
Success Trust and Holdings LLC |
Simpsonville SC
Allegation: Sale of unregistered security.
Resolution: Cease and Desist Order issued.
Date of Order/Settlement: 2007-03-15 00:00:00 |
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03-13-2007 |
In the Matter of Garlon Maxwell |
Cease and Desist Order |
Final |
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03-13-2007 |
Bankers Life and Casualty Company |
Camel IN
Allegation: Market conduct; Misrepresentations and Violation of sales practices.
Resolution: Order and Consent to Order - Cease and Desist violations Implement the terms of the MOU Civil penalty of $100000.
Date of Order/Settlement: 2007-03-14 00:00:00 |
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03-08-2007 |
In the Matter of Patricia Townsend |
Order and Consent to Order |
Final |
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03-08-2007 |
Townsend Patricia |
Morton IL
Allegation: Sold policies during the time period that insurance producer license not renewed.
Resolution: Order and Consent to Order - Civil penalty and costs imposed.
Date of Order/Settlement: 2007-03-08 00:00:00 |
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03-07-2007 |
In the Matter of Combined Insurance Co. |
Order and Consent to Order |
Final |
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03-07-2007 |
Combined Insurance Company of America |
Glenview IL
Allegation: Failed to implement adequate procedures to ensureproper licensure of its independent agents thereby resulting in the sale of policies by an unlicensed agent.
Resolution: Order and Consent to Order - Civil penalty and costs imposed.
Date of Order/Settlement: 2007-03-07 00:00:00 |
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03-07-2007 |
Steckis William |
Omaha NE
Allegation: Failure to report other states action.
Resolution: Cease & Desist from violations and monetary penalty.
Date of Order/Settlement: 2007-03-07 00:00:00 |
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03-05-2007 |
Bessine Dustin |
Burlington IA
Allegation: Failure to comply with Other State Agency - DHS; Non-compliance w/order of Child Support
Resolution: License is suspended
Date of Order/Settlement: 2007-03-05 00:00:00 |
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02-23-2007 |
In the Matter of Pamela Larson |
Order and Consent to Order |
Final |
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02-23-2007 |
Larson Pamela |
Clear Lake IA
Allegation: Issued fraudulent insurance cards issued retroactive coverage and committed fraud.
Resolution: Order & Consent to Order - 60 day suspension civil penalty and costs assessed.
Date of Order/Settlement: 2007-02-23 00:00:00 |
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