Administrative Orders and Actions

Post date Matter Order Status
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
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