Administrative Orders and Actions

Post date Matter Order Status
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
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
11-08-2006 In the Matter of Dan Steiber Klear Vu Kovers Cease and Desist Order Final
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