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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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02-22-2007 |
In the Matter of Gregory Messmore |
Order and Consent to Order |
Final |
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02-22-2007 |
Messmore Gregory |
Mason City IA
Allegation: Unsuitable sale and violation of insurance and securities license.
Resolution: Order & Consent to Order- Insurance and Securities License is suspended for a period of no less than five years.
Date of Order/Settlement: 2007-02-22 00:00:00 |
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02-21-2007 |
In the Matter of Sheryl K. Oberreuter |
Order and Consent to Order |
Final |
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02-21-2007 |
Oberreuter Sheryl |
Norway IA
Allegation: Issued retroactive coverage.
Resolution: Order and Consent to Order - Suspension of insurance producer license for 60 days; Civil Penalty and Costs were assessed.
Date of Order/Settlement: 2007-02-21 00:00:00 |
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02-07-2007 |
Nelson Gary |
Tarpon Springs FL
Allegation: Unregistered securities Unregistered agent Ommissions and Misrepresentations.
Resolution: Order and Consent to Order signed. Civil penalty imposed in Cease & Desist is vacated.
Date of Order/Settlement: 2007-02-07 00:00:00 |
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02-07-2007 |
Nelson Judith |
Tarpon Springs FL
Allegation: Unregistered securities Unregistered agent Ommissions and Misrepresentations.
Resolution: Order and Consent to Order signed. Civil penalty imposed in Cease & Desist is vacated.
Date of Order/Settlement: 2007-02-07 00:00:00 |
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02-07-2007 |
The Just Foundation |
Tarpon Springs FL
Allegation: Unregistered securities Unregistered agents Ommissions and Misrepresentations.
Resolution: Order and Consent to Order signed. Civil penalty imposed in Cease & Desist is vacated.
Date of Order/Settlement: 2007-02-07 00:00:00 |
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01-24-2007 |
In the Matter of Blair C. Williams |
Order for Suspension |
Final |
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01-24-2007 |
In the Matter of Jason J. Rudd |
Order for Suspension |
Final |
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01-24-2007 |
Williams Blair |
Ankeny IA
Allegation: Failure to comply with Other State Agency - DHS; Non-compliance w/order of Child Support
Resolution: License suspended.
Date of Order/Settlement: 2007-01-24 00:00:00 |
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01-24-2007 |
Rudd Jason |
Montrose IA
Allegation: Failure to comply with Other State Agency - DHS; Non-compliance w/order of Child Support
Resolution: License suspended.
Date of Order/Settlement: 2007-01-24 00:00:00 |
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01-18-2007 |
In the Matter of Gene D. Tyson |
Order for Suspension |
Final |
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01-18-2007 |
Tyson Gene |
North Liberty IA
Allegation: Failure to comply with Other State Agency - DHS; Non-compliance w/order of Child Support
Resolution: License suspended.
Date of Order/Settlement: 2007-01-18 00:00:00 |
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01-10-2007 |
In the Matter of Wade Schmudlach |
Order and Consent to Order |
Final |
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01-10-2007 |
Schmudlach Wade |
Tripoli IA
Allegation: Fiduciary Violation
Resolution: Order and Consent to Order License revoked.
Date of Order/Settlement: 2007-01-10 00:00:00 |
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01-03-2007 |
In the Matter of Douglas J. Cabell |
Order and Consent to Order |
Final |
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01-03-2007 |
In the Matter of Roger Duane Goodwin |
Order and Consent to Order |
Final |
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01-03-2007 |
Goodwin Roger Duane |
West Des Moines IA
Allegation: Advertising violation Sales presentations violations and unlicensed activity.
Resolution: Consent signed; Fine $15000; agreement to not engage in business of insurance for 90 days; Quarterly reports and 1 yr probation.
Date of Order/Settlement: 2007-01-03 00:00:00 |
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01-03-2007 |
Cabell Douglas |
Bettendorf IA
Allegation: Committed fraud and misrepresentation.
Resolution: Order and Consent to Order; Costs assessed and Civil penalty; 90 day suspension.
Date of Order/Settlement: 2007-01-03 00:00:00 |
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12-28-2006 |
In the Matter of Joseph A. Vendemia |
Cease and Desist Order |
Final |
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12-28-2006 |
In the Matter of James Walter Polcyn |
Cease and Desist Order |
Final |
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12-28-2006 |
Vendemia Joseph |
Poplar Grove IL
Allegation: Unlicensed sale of insurance; Accepting insurance from an individual who is not licensed.
Resolution: Cease and Desist Order; Civil penaltyassessed.
Date of Order/Settlement: 2006-12-28 00:00:00 |
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12-28-2006 |
Polcyn James |
Ft. Lauderdale FL
Allegation: Unlicensed sale of Insurance.
Resolution: Cease and Desist order; Civil penalty assessed.
Date of Order/Settlement: 2006-12-28 00:00:00 |
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12-27-2006 |
In the matter of the limited application of IMT INSURANCE COMPANY for approval of a plan to create IMT MUTUAL HOLDING COMPANY convert IMT INSURANCE COMPANY into a stock company and approve a dividend… |
Findings of Fact Conclusions of Law and Order |
Final |
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12-26-2006 |
In the Matter of Ricky L. Knutson D/B/A Knutson Family Chapel & Knutson Family Chapel LLC |
Cease and Desist Order |
Final |
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12-20-2006 |
In the Matter of Douglas R. Smith |
Appeal Decision |
Final |
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12-20-2006 |
Smith Douglas |
Ankeny IA
Allegation: Misrepresentation; Replacement violation
Resolution: Decision - 2 yr probation; 30 day suspension; Civil penalty assessed.
Date of Order/Settlement: 2006-12-20 00:00:00 |
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12-18-2006 |
Bonnell Peter |
Medina OH
Allegation: Advertising Violation.
Resolution: Order and Conset to order signed; Civil Penalty assessed.
Date of Order/Settlement: 2006-12-18 00:00:00 |
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12-18-2006 |
Ripka Linda |
Warsaw MN
Allegation: Unregistered securities Unregistered agent Ommissions and Misrepresentations.
Resolution: Order and Consent to Order. Civil penalty imposed in Cease & Desist is vacated.
Date of Order/Settlement: 2006-12-18 00:00:00 |
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11-21-2006 |
In the Matter of Lincoln Benefit Life Company |
Order and Consent to Order |
Final |
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11-21-2006 |
In re the application of UNION SECURITY INSURANCE COMPANY for approval of an "Agreement and Plan of Merger" with INTERNATIONAL DENTAL PLANS INC. |
Findings of Fact Conclusions of Law and Order |
Final |
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11-16-2006 |
In the Matter of Linda K. Palmer |
Proposed Order Granting Entry of Default Judgment Cease and Desist Order |
Final |
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11-16-2006 |
Palmer Linda |
Renwick IA
Allegation: Unregistered Securities; Unregistered Agent; Unlicensed Investment Advisor and Misrepresentations.
Resolution: Proposed order granting entry of default judgment. Cease and Desist Order is hereby affirmed.
Date of Order/Settlement: 2006-11-16 00:00:00 |
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11-13-2006 |
In the Matter of Kenneth Steven Violett |
Order and Consent to Order |
Final |
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11-13-2006 |
McCaa Pam |
Brownsville TX
Allegation: Unregistered securities agent; Solicited and sold unregistered securities in Iowa; and ommissions.
Resolution: Cease and Desist Order.
Date of Order/Settlement: 2006-11-13 00:00:00 |
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11-08-2006 |
In the Matter of Dan Steiber Klear Vu Kovers |
Cease and Desist Order |
Final |
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11-08-2006 |
In the Matter of IDS Life Insurance Co. |
Order and Consent to Order |
Final |
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11-08-2006 |
Steiber Dan |
Janesville IA
Allegation: Unregistered securities; Unregistered agent and ommissions.
Resolution: Cease & Desist order issued.
Date of Order/Settlement: 2006-11-08 00:00:00 |
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11-08-2006 |
Klear Vu Kovers |
Janesville IA
Allegation: Unregistered securities; Unregistered agents and Ommissions.
Resolution: Cease & Desist order issued.
Date of Order/Settlement: 2006-11-08 00:00:00 |
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11-08-2006 |
IDS Life Insurance Company |
Minneapolis MN
Allegation: Failure to provide Free Look Period.
Resolution: Order and Consent to Order - No monetary penalty assessed.
Date of Order/Settlement: 2006-11-08 00:00:00 |
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11-02-2006 |
In the matter of application of AVIVA PLC et al for approval of a plan to acquire control of AMERUS LIFE INSURANCE COMPANY |
Findings of Fact Conclusions of Law and Order |
Final |
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11-01-2006 |
In the Matter of Caruba International LLC;Tradewinds Hilding Company A.V.V.;The Just Foundation;Abacus Solutions Inc.;Rudoph Robles;Gary Steve Nelson;Judith E. Nelson;Linda C. Ripka |
Cease and Desist Order |
Final |
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11-01-2006 |
Tradewinds Holding Company A.V.V |
Davie FL
Allegation: Unregistered securities Unregistered agents Ommissions and Misrepresentations.
Resolution: Cease & Desist Order issued.
Date of Order/Settlement: 2006-11-01 00:00:00 |
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11-01-2006 |
Lindsey Victor |
Torrance CA
Allegation: Failure to Respond.
Resolution: License Revoked.
Date of Order/Settlement: 2006-11-01 00:00:00 |
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10-30-2006 |
In the Matter of Nicholas E. Zegarac |
Cease and Desist Order |
Final |
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10-08-2006 |
In the Matter of Chad C. Arey |
Order and Consent to Order |
Final |
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10-08-2006 |
Arey Chad |
Des Moines IA
Allegation: Misrepresentation on license renewal application
Resolution: Order & Consent to Order; paid civil penalty and costs.
Date of Order/Settlement: 2006-10-09 00:00:00 |
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09-21-2006 |
In the Matter of Dan Steiber |
Proposed Findings of Fact Conclusions of Law and Order |
Final |