Administrative Orders and Actions

Post date Matter Order Status
03-20-2007 In the Matter of Conseco Life Insurance Company Order and Consent to Order Final
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
03-14-2007 In the Matter of Bankers Life & Casualty Company Order and Consent to Order Final
03-14-2007 In the Matter of Success Trust and Holding LLC and A. Paul Reynolds Cease and Desist Order Final
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
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
03-13-2007 In the Matter of Garlon Maxwell Cease and Desist Order Final
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
03-08-2007 In the Matter of Patricia Townsend Order and Consent to Order Final
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
03-07-2007 In the Matter of Combined Insurance Co. Order and Consent to Order Final
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
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
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
02-23-2007 In the Matter of Pamela Larson Order and Consent to Order Final
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
02-22-2007 In the Matter of Gregory Messmore Order and Consent to Order Final
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
02-21-2007 In the Matter of Sheryl K. Oberreuter Order and Consent to Order Final
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
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
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
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
01-24-2007 In the Matter of Blair C. Williams Order for Suspension Final
01-24-2007 In the Matter of Jason J. Rudd Order for Suspension Final
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
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
01-18-2007 In the Matter of Gene D. Tyson Order for Suspension Final
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
01-10-2007 In the Matter of Wade Schmudlach Order and Consent to Order Final
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
01-03-2007 In the Matter of Douglas J. Cabell Order and Consent to Order Final
01-03-2007 In the Matter of Roger Duane Goodwin Order and Consent to Order Final
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
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
12-28-2006 In the Matter of Joseph A. Vendemia Cease and Desist Order Final
12-28-2006 In the Matter of James Walter Polcyn Cease and Desist Order Final
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
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
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
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
12-20-2006 In the Matter of Douglas R. Smith Appeal Decision Final
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
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
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
11-21-2006 In the Matter of Lincoln Benefit Life Company Order and Consent to Order Final
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
11-16-2006 In the Matter of Linda K. Palmer Proposed Order Granting Entry of Default Judgment Cease and Desist Order Final
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
11-13-2006 In the Matter of Kenneth Steven Violett Order and Consent to Order Final