Administrative Orders and Actions

Post date Matter Order Status
11-08-2006 In the Matter of IDS Life Insurance Co. Order and Consent to Order Final
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
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
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
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
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
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
11-01-2006 Lindsey Victor Torrance CA Allegation: Failure to Respond. Resolution: License Revoked. Date of Order/Settlement: 2006-11-01 00:00:00
10-30-2006 In the Matter of Nicholas E. Zegarac Cease and Desist Order Final
10-08-2006 In the Matter of Chad C. Arey Order and Consent to Order Final
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
09-21-2006 In the Matter of Dan Steiber Proposed Findings of Fact Conclusions of Law and Order Final
09-21-2006 Glass Susan Mishawaka IN Allegation: Failure to report administrative action Resolution: Consent Order - $125 fine and other costs assessed. Date of Order/Settlement: 2006-09-22 00:00:00
09-21-2006 Steiber Danny Janesville IA Allegation: Failure to Respond Resolution: Order - License revoked Date of Order/Settlement: 2006-09-22 00:00:00
09-07-2006 In the Matter of Bruce E. Nelson Decision Final
09-07-2006 Nelson Bruce Urbandale IA Allegation: Challenges the summary order denying securities agent registration. Resolution: Decision - denial of securities registration upheld. Date of Order/Settlement: 2006-09-08 00:00:00
08-23-2006 In the Matter of Conoco Phillips Company Order and Consent to Order Final
08-19-2006 Conocophillips Company Houston TX Allegation: Failure to provide current loss reserves for Iowa Resolution: Consent Order issued and monetary penalty assessed. Date of Order/Settlement: 2006-08-20 00:00:00
08-17-2006 In the Matter of Lisa Mize Order for Default Final
08-17-2006 In the Matter of Jeremy Prchal Order for Default Final
08-17-2006 In the Matter of Deborah L. Clark Order and Consent to Order and Agreement Final
08-17-2006 Mize Lisa Summersville WV Allegation: Failure to respond. Resolution: Order - License revoked. Date of Order/Settlement: 2006-08-18 00:00:00
08-17-2006 Webb Nathaniel Van Nuys CA Allegation: Failure to respond. Resolution: Order - License revoked. Date of Order/Settlement: 2006-08-18 00:00:00
08-17-2006 Bertsch Kristoffer Wilmington DE Allegation: Failure to respond. Resolution: Order - License revoked. Date of Order/Settlement: 2006-08-18 00:00:00
08-17-2006 Prchal Jeremy Omaha NE Allegation: Failure to respond Resolution: License revoked. Date of Order/Settlement: 2006-08-18 00:00:00
08-17-2006 Clark Deborah Quimby IA Allegation: Consumer Complaints Resolution: Order & Consent to Order with a Heightened Supervision Agreement Date of Order/Settlement: 2006-08-18 00:00:00
08-14-2006 In the Matter of Susan K. Glass Order and Consent to Order Final
08-14-2006 In the Matter of Wachovia Capital Markets LLC Findings of Fact Conclusions of Law Consent Order Final
08-14-2006 Wachovia Capital Market LLC Charlotte NC Allegation: Conflicts of interest between investment banking and equity research department failure to supervise its research analysts failed to maintain and produce in a timely manner certain books and records. Resolution: Without admitting or denying findings of fact and conclusions of law Wachovia agreed to cease and desist failing to supervise and agreed to pay a civil penalty of $246500. Date of Order/Settlement: 2006-08-15 00:00:00
08-07-2006 In the Matter of Timothy Stabile Order and Consent to Order Final
08-07-2006 Stabile Timothy Ottumwa IA Allegation: Stabile improperly withheld misappropriated or converted moneys received in the course of doing business. Resolution: Order & Consent to Order - permanently barred from reapplying for an insurance producer license in Iowa and also permanently barred from reapplying for a securities agent license in Iowa. Date of Order/Settlement: 2006-08-08 00:00:00
08-06-2006 In the matter of Peter Joseph Bonnell III Decision Final
08-06-2006 In the Matter of L. Basheer Hasan Order and Consent to Order Final
08-02-2006 In the Matter of Schatz & Associates Ruling of the Insurance Commissioner Final
08-02-2006 Hasan L. Basheer Des Moines IA Allegation: Acted as an unregistered securities agent and investment advisor Resolution: Order Agreement and Consent Order - Cease & Desist Date of Order/Settlement: 2006-08-03 00:00:00
07-26-2006 In the Matter of Steven J. Moore Order and Consent to Order Final
07-26-2006 Moore Steven J. Maquoketa IA Allegation: Committing an unfair trade practice making misrepresentation to an insurance company using fraudulent practices by allegedly forging anothers name. Resolution: Cease & Desist any violation of the Iowa Insurance laws and will surrender Life & Health insurance license and agrees not to reapply for license in future. Also on probation for a period of two years and will pay civil penalty. Date of Order/Settlement: 2006-07-27 00:00:00
07-24-2006 In the Matter of Anthony S. Sorensen Order and Consent to Order Final
07-24-2006 Sorensen Anthony Coralville IA Allegation: Committing an unfair trade practice Making a misrepresentation to an insurance company using fraudulant practices by forging anothers name. Resolution: Cease & Desist any violation of the Iowa Insurance laws and will surrender Life & Health license. This Life & Health license will be suspended for a period of two years from the date of this order Date of Order/Settlement: 2006-07-25 00:00:00
07-23-2006 In the Matter of John L. Ege Jr. Order and Consent to Order Final
07-23-2006 Ege John Jr. Cherokee IA Allegation: Failure to report criminal charges Resolution: Order and Consent to Order civil penalty and costs assessed. Date of Order/Settlement: 2006-07-24 00:00:00
07-10-2006 In the Matter of Bradley W. Johnson Order of Suspension Final
07-10-2006 Johnson Bradley Davenport IA Allegation: Failure to comply with Other State Agency - DHS; Non-compliance w/order of Child Support Resolution: Suspension Date of Order/Settlement: 2006-07-11 00:00:00
07-09-2006 In the Matter of Cedrick Jones Amended Order of Suspension Final
07-09-2006 Jones Cedrick Davenport IA Allegation: Failure to comply with Other State Agency - DHS; Non-compliance w/order of Child Support Resolution: Suspension Date of Order/Settlement: 2006-07-10 00:00:00
06-19-2006 In the Matter of Phoukam Baccam Order for Default Final
06-19-2006 Baccam Phoukham Des Moines IA Allegation: Failure to respond Resolution: License suspended. Date of Order/Settlement: 2006-06-20 00:00:00
05-25-2006 Brean Murray Carret & Company LLC New York NY Allegation: Failure to file audited financial report. Resolution: Broker dealer license is suspended; civil penalty $1000; suspension lifted when compliance is complete. Date of Order/Settlement: 2006-05-26 00:00:00
04-27-2006 In the Matter of Eric S. Beck Order for Suspension of Licese Final
04-27-2006 Beck Eric Urbandale IA Allegation: Failure to respond to investigation Resolution: Order for Suspension of license Date of Order/Settlement: 2006-04-28 00:00:00