Administrative Orders and Actions

Post date Matter Order Status
02-08-2008 In the Matter of Peter C Klamka Order Granting Motion to Dismiss Final
02-07-2008 In the Matter of BARRON TRADING GROUP INC. GLOBAL ASSET MANAGEMENT INC. CHRISTOPHER R. HELD Order and Consent to Order and Agreement; Cease and Desist Order Final
02-07-2008 In the Matter of Gregg Lorenzo and John Thomas Financial Firm

Order and Consent to Order

Final
01-29-2008 In the Matter of Johnathan Ahlf Decision Final
01-29-2008 In the Matter of Richard D. Martin Order and Consent to Order; Order Vacating Denial of Securities Agent License; Order Denying Securities Agent License Final
01-29-2008 Ahlf Johnathan Muscatine IA Allegation: Reconsideration of license revocation. Resolution: Decision issued affirming the Divisions decision to deny Ahlfs resident producer license. Date of Order/Settlement: 2008-01-29 00:00:00
01-29-2008 Martin Richard D. Omaha NE Allegation: Denial of Securities license. Resolution: Consent signed and securities license issued with 2 year heightened supervision. Date of Order/Settlement: 2008-01-29 00:00:00
01-18-2008 In the Matter of Ralph R Johnson Jr. Summary Order Denying Application for Sales Agent License Final
01-18-2008 Johnson Ralph Jr. West Des Moines IA Allegation: Criminal History Resolution: Summary Order Denying Application for Sales Agent License. Date of Order/Settlement: 2008-01-18 00:00:00
01-16-2008 In the Matter of Maytag Corporation Order and Consent to Order Final
01-16-2008 Maytag Corporation Benton Harbor MI Allegation: Failure to timely file and failure to respond. Resolution: Consent Order issued and monetary penalty assessed. Date of Order/Settlement: 2008-01-16 00:00:00
01-11-2008 In the matter of application of GREGORY M. SHEPARD for disclaimer of control relating to DONEGAL GROUP INC. ultimate controlling party of LE MARS INSURANCE COMPANY Notice of Public Hearing and Order Final
01-09-2008 In the Matter of Michael J. Murphy Order and Consent to Order and Agreement Final
01-09-2008 Murphy Michael J. Deephaven MN Allegation: Failure to report other states action. Resolution: Order and Consent to Order and Agreement issued and a monetary penalty assessed. Date of Order/Settlement: 2008-01-09 00:00:00
01-03-2008 In the Matter of the Certificate of Authority of MARQUETTE NATIONAL LIFE INSURANCE COMPANY Order Releasing Suspension Final
12-31-2007 In the Matter of Douglas Arthur Carley Order and Consent to Order Final
12-31-2007 In the Matter of Curtis M. Allen Order and Consent to Order and Agreement Final
12-31-2007 Allen Curtis Forsyth IL Allegation: Unfair trade practice Resolution: Order and Consent to Order and Agreement issued and is permanently barred from reapplying for an Insurance producer license in the state of Iowa. License is revoked. Date of Order/Settlement: 2007-12-31 00:00:00
12-31-2007 Carley Douglas A. Oakland IA Allegation: Failure to inform Division of prior criminal conviction. Resolution: Order and Consent to Order issued and monetary penalty assessed. Date of Order/Settlement: 2007-12-31 00:00:00
12-30-2007 In the Matter of Maryo D. Lindsey Order for Suspension Final
12-30-2007 Lindsey Maryo Waterloo IA Allegation: Child Support Violation Resolution: Order for Suspension issued. Date of Order/Settlement: 2007-12-30 00:00:00
12-26-2007 In re the application of NATIONAL INDEMNITY COMPANY OF MID-AMERICA for approval of an Agreement and Plan of Merger with THE PENNSYLVANIA REINSURANCE COMPANY Findings of Fact Conclusions of Law and Order Final
12-20-2007 In the Matter of John Behn Order and Consent to Order Final
12-20-2007 Behn John D. Cedar Rapids IA Allegation: Misrepresented life insurance documents in order to qualify for a personal loan. Resolution: Order and Consent to Order issued and a monetary penalty assessed. Date of Order/Settlement: 2007-12-20 00:00:00
12-10-2007 In re the application of HAWKEYE MUTUAL INSURANCE ASSOCIATION for approval of an Assumption and Reinsurance Agreement with PATRONS MUTUAL INSURANCE ASSOCIATION Findings of Fact Conclusions of Law and Order Final
11-21-2007 In re the application of VALIANT INSURANCE COMPANY for approval of an "Assumption Reinsurance Agreement" with ZURICH AMERICAN INSURANCE COMPANY Findings of Fact Conclusions of Law and Order Final
11-19-2007 In the Matter of Jack L. Straw Order and Consent to Order Final
10-30-2007 In the Matter of Edmond Flattery Order and Consent to Order Final
10-30-2007 Flattery Edmond Albia IA Allegation: Criminal charges Resolution: Consent Order - Insurance Producer License is permanently revoked and permanently barred from reapplying for an insurance producer license. Also permanently barred from applying for a securities agent license in the State of Iowa. Date of Order/Settlement: 2007-10-31 00:00:00
10-25-2007 In the Matter of Virginia E. Smith Order and Consent to Order Final
10-25-2007 Smith Virginia E. Harlan IA Allegation: Failure to disclose criminal conviction. Resolution: Consent Order signed and monetary penalty assessed. Date of Order/Settlement: 2007-10-26 00:00:00
10-24-2007 In the Matter of Donald E. Johnson Cease and Desist Order Final
10-24-2007 Johnson Donald E Eldon MO Allegation: Unregistered Securities and agent; misrepresentations and Omissions. Resolution: Cease and Desist Order issued and monetary penalty assessed. Date of Order/Settlement: 2007-10-25 00:00:00
10-21-2007 In the Matter of Memberselect Insurance Company Order and Consent to Order and Agreement Final
10-21-2007 MemberSelect Insurance Company Dearborn MI Allegation: Summary Order Disapproving premium rate changes. Resolution: Consent Order signed. Date of Order/Settlement: 2007-10-22 00:00:00
10-18-2007 Hughes Chuck and Hughes Investment Advisors LLC Hot Springs NC Allegation: Transacted business as an investment adviser representative without being registered. Resolution: Order and Consent Order signed and Hughes reimbursed former subscriber $2500. Date of Order/Settlement: 2007-10-19 00:00:00
10-17-2007 In the matter of Chuck Hughes and Hughes Investment Advisors LLC. Order and Consent to Order Final
10-17-2007 In re the application of EMCASCO INSURANCE COMPANY for approval of an "Agreement and Plan of Merger" with FARM AND CITY INSURANCE COMPANY Findings of Fact Conclusions of Law and Order Final
10-14-2007 In the Matter of Memberselect Insurance Company Order and Consent to Order and Agreement; Summary Order Disapproving Premium Rate Changes Final
10-14-2007 Yamada Judy Ann Harlan IA Allegation: Failure to disclose criminal convictions on appl. For licensure. Resolution: Consent signed & monetary penalty assessed. Date of Order/Settlement: 2007-10-15 00:00:00
10-11-2007 In the Matter of Future Stars Sports Inc. / Mark McLaughlin Cease and Desist Order Final
10-11-2007 Future Stars Sports Inc. Green City MO Allegation: Unregistered agent Unregistered securities misrepresentations omissions. Resolution: Cease & Desist Order issued and a monetary penalty assessed. Date of Order/Settlement: 2007-10-12 00:00:00
10-11-2007 McLaughlin Mark Green City MO Allegation: Unregistered agent Unregistered securities misrepresentations omissions. Resolution: Cease & Desist Order issued and a monetary penalty assessed. Date of Order/Settlement: 2007-10-12 00:00:00
09-27-2007 In the matter of Jack L. Straw Order of Summary Revocation and Order to Cease and Desist Final
09-27-2007 Straw Jack Cedar Rapids IA Allegation: Unlicensed SEC. Misrepresentation; misappropriation of funds. Resolution: Order of Summary Revocation and Order to Cease and Desist. Date of Order/Settlement: 2007-09-28 00:00:00
09-25-2007 In the matter of the application of ARIEL HOLDINGS LTD for approval of a plan to acquire control of VALIANT INSURANCE COMPANY Findings of Fact Conclusions of Law and Order Final
09-24-2007 In the matter of Judy Ann Yamada Order and Consent to Order Final
09-23-2007 In the matter of Kevin Barnett; Barnett Investments Inc. Order and Consent to Order Final
09-23-2007 Barnett Kevin Louis MO Allegation: Unregistered agent; Unregistered Securities; Omissions and Misrepresentations. Resolution: Cease and Desist Order issued and a monetary penalty assessed. Date of Order/Settlement: 2007-09-24 00:00:00
09-16-2007 In the matter of Daniel William Huebner; Net Worth One Inc.;Rental Property LLC Program (A/K/A Royalty Lease Rental Partnership Program Loan) Cease and Desist Order Final