|
07-05-2005 |
Cunningham Kevin J. |
Palos Park IL
Allegation: Revocation of license by another state; failure to cooperate with investigation
Resolution: Consent signed: two years probation; report any administrative action within 30 days; cease and desist any violation of Iowa insurance laws;pay $350 Fine and $100 Costs
Date of Order/Settlement: 2005-07-06 00:00:00 |
|
|
06-30-2005 |
Simmons Henry |
Virginia Beach VA
Allegation: Failure to notify of other state administrative action; Failure to respond
Resolution: Order- License revoked.
Date of Order/Settlement: 2005-07-01 00:00:00 |
|
|
06-30-2005 |
Simmons Henry E. |
Virginia Beach VA
Allegation: Failure to notify Division of prior actions; failure to cooperate with investigation; denial of license by another state.
Resolution: Order: License revoked; Pay $250 Fine and respond to division inauires before license may be restored.
Date of Order/Settlement: 2005-07-01 00:00:00 |
|
|
06-30-2005 |
Sayre Robert C. |
Anamosa IA
Allegation: Failure to disclose prior actions on application; failure to notify Division of prior actions; revocation of license by another state; failure to cooperate with investigation
Resolution: Order: License revoked; pay $250 Fine and provide explanation to inquiries before license is restored.
Date of Order/Settlement: 2005-07-01 00:00:00 |
|
|
06-21-2005 |
In the Matter of United Fire & Casualty Company |
Order and Consent to Order |
Final |
|
06-20-2005 |
Praul Allen D. |
Bettendorf IA
Allegation: Sale of unregistered securities; omitting material facts/ information; misstatements of material facts; practice to defraud; unregistered as a securities agent; unsuitable sales; exerted undue influence over clients.
Resolution: Consent signed: insurance license revoked; permanently barred from reapplying; permanently barred from applying for securities license.
Date of Order/Settlement: 2005-06-21 00:00:00 |
|
|
06-15-2005 |
Acceptance Insurance Company |
Council Bluffs IA
Allegation: Capital and surplus in violation of Iowa Code
Resolution: Consent signed: Certificate of authority is suspended; company prohibited from writing or accepting new or renewal business; pay $500 costs.
Date of Order/Settlement: 2005-06-16 00:00:00 |
|
|
06-13-2005 |
Fowler Bradley S. |
Elk Point SD
Allegation: Wrote insurance applications in Iowa without a valid Iowa non-resient producer license; Failure to notify of address change within 30 days of change
Resolution: Consent: Cease and desist any violation; will not sell in Iowa without a valid license; notify of any address change; 2 years probation; Pay $750 Fine and $250 Costs
Date of Order/Settlement: 2005-06-14 00:00:00 |
|
|
05-24-2005 |
In the Matter of Jeremy Scott Lind |
Order and Consent to Order |
Final |
|
05-23-2005 |
Lind Jeremy S. |
Huxley IA
Allegation: Provided incorrect information on application for licensure; Failure to notify Division of other states action
Resolution: Consent signed: Cease and desist from violation of licensing statutes; Pay $125 Fine; $125 Costs
Date of Order/Settlement: 2005-05-24 00:00:00 |
|
|
05-22-2005 |
Deel Stephanie J. |
Chesapeake VA
Allegation: Incorrect information on License application; failure to notify Division of prior actions
Resolution: Order: License revoked; $500 Fine; $200 Costs
Date of Order/Settlement: 2005-05-23 00:00:00 |
|
|
05-22-2005 |
Harden Tony L. |
Tampa FL
Allegation: Failure to notify Division of prior actions
Resolution: Order: License revoked; $500 Fine; $200 Costs
Date of Order/Settlement: 2005-05-23 00:00:00 |
|
|
05-15-2005 |
Deutsche Bank Securities Inc. |
New York NY
Allegation: Engaged in acts or practices that created/maintained inappropriate influence by investment banking over research analysts failed to have adequate policies and procedures to handle conflicts of interest failed to produce emails as requested
Resolution: Without admitting or denying findigs offact and conclusions of law DBS will cease and desist violations of the Iowa Uniform Securities Act will comply with several undertakings and pay $287500 Fine.
Date of Order/Settlement: 2005-05-16 00:00:00 |
|
|
05-11-2005 |
Weisberg Max |
Scottsdale AZ
Allegation: Failure to notify Division of prior action
Resolution: Consent Signed: Cease and desist from violations; pay $150 Fine $100 Costs
Date of Order/Settlement: 2005-05-12 00:00:00 |
|
|
05-09-2005 |
Thomas Weisel Partners LLC |
San Francisco CA
Allegation: Analyst conflict of interest case; ratings were tilted toward "buy" and "strong buy" analyst considered banking business in determining recommendations analysts compensation was tied to success in generating business.
Resolution: Without admitting or denying findings of fact and conclusions of law TWP is ordered to cease and desist violations of the Iowa Uniform Securities Act consents to several undertakings and pay fine of $50000.
Date of Order/Settlement: 2005-05-10 00:00:00 |
|
|
05-03-2005 |
Prairie Land Grain Storage LLC |
No Action Letter Request |
Final |
|
05-03-2005 |
Dasilva Walter C. Jr. |
Oklahoma City OK
Allegation: Failure to notify Division of prior action.
Resolution: Order: License revoked; Pay $500 Fine and $200 Costs before relicensure in Iowa
Date of Order/Settlement: 2005-05-04 00:00:00 |
|
|
05-02-2005 |
In the Matter of Christopher L. Carstarphen |
Proposed Findings of Fact Conclusions of Law and Order |
Final |
|
05-02-2005 |
Harl Christopher |
San Antonio TX
Allegation: Failure to notify of criminal action within 30 days
Resolution: Consent: Cease and desist; Pay $125 Fine and $125 Costs
Date of Order/Settlement: 2005-05-03 00:00:00 |
|
|
05-01-2005 |
In the Matter of Max Weisberg Iowa Insurance Producer |
Order and Consent to Order |
Final |
|
04-26-2005 |
Augustine Amanda |
Streator IL
Allegation: Failure to notify Division of prior actions
Resolution: Order: License revoked; pay Fine of $500 and Costs of $200 before relicensure.
Date of Order/Settlement: 2005-04-27 00:00:00 |
|
|
04-25-2005 |
Curtin Jeffrey C. |
Oklahoma City OK
Allegation: Failure to notify Division of prior actions
Resolution: Order: License revoked; pay Fine of $500 and Costs of $200 before relicensure.
Date of Order/Settlement: 2005-04-26 00:00:00 |
|
|
04-25-2005 |
Borrego Jesse |
Buda TX
Allegation: Failure to notify Division of prior actions
Resolution: Order: License revoked; pay Fine of $500 and Costs of $200 before relicensure.
Date of Order/Settlement: 2005-04-26 00:00:00 |
|
|
04-17-2005 |
Christian Crystal |
Colorado Springs CO
Allegation: Failure to disclose information on license application; Failure to notify Division of prior actions.
Resolution: Order signed: License revoked; Pay $500 fine before license may be restored.
Date of Order/Settlement: 2005-04-18 00:00:00 |
|
|
04-17-2005 |
McKenna Todd J. |
West Des Moines
Allegation: Failure to notify Division of actions; Failure to cooperate with investigation
Resolution: Order signed: License revoked; Pay $500 F and $200 Costs
Date of Order/Settlement: 2005-04-18 00:00:00 |
|
|
04-10-2005 |
Hawkeye Life Insurance Group Inc. |
Des Moines IA
Allegation: Failure to file annual financial report
Resolution: Consent signed: Annual financial statement for 2003 filed agrees to timely comply with 191 IAC 5.25; pay $2000 Fine and $1000 Costs
Date of Order/Settlement: 2005-04-11 00:00:00 |
|
|
03-25-2005 |
In the Matter of Custom Dollar Systems LLC; Wayne Mercural |
Cease and Desist Order |
Final |
|
03-25-2005 |
Carmichael Jr. Arthur C. |
Los Altos CA
Allegation: Failure to notify Divison of administrative action in another state.
Resolution: Consent signed: Cease and desist from violations; pay $150 Fine and $100 Costs
Date of Order/Settlement: 2005-03-25 00:00:00 |
|
|
03-24-2005 |
In the matter of Judi A. Swafford |
Proposed Findings of Fact Conclusions of Law and Order |
Final |
|
03-24-2005 |
Mankamyer Michele L. |
Lake Worth FL
Allegation: Providing incorrect or incomplete information on license application; failure to notify Division of prior actions
Resolution: Order: License revoked; pay $500 fine before license may be restored
Date of Order/Settlement: 2005-03-24 00:00:00 |
|
|
03-24-2005 |
Decambra Jennifer L. |
Limestone ME
Allegation: Failure to notify Division of prior actions
Resolution: Order: License revoked; Pay $500 Fine before licensure is restored
Date of Order/Settlement: 2005-03-24 00:00:00 |
|
|
03-23-2005 |
Swafford Judi A. |
Oklahoma City OK
Allegation: Failure to disclose on license application; failure to to notify Diviison of prior actions; revocation of license by another state; failure to cooperate with investigation
Resolution: Order: License revoked; Pay $250 Fine before licensure may be restored
Date of Order/Settlement: 2005-03-23 00:00:00 |
|
|
03-22-2005 |
Premium Income Corp. |
Seattle WA
Allegation: Sale of unregistered securities in Iowa; misrepresentations and omissions in the sales of unregistered securities
Resolution: Cease and desist order in the sale of unregistered securities by an unregistered agent.
Date of Order/Settlement: 2005-03-22 00:00:00 |
|
|
03-22-2005 |
Praul Allen D. |
Bettendorf IA
Allegation: Unregistered securities agent; Selling unregistered securities; Misrepresentations and omissions in the sale of securities
Resolution: Cease and desist order in the sale of unregistered securities by an unregistered agent
Date of Order/Settlement: 2005-03-22 00:00:00 |
|
|
03-11-2005 |
In the Matter of Roger R. Parsons |
Order and Consent to Order |
Final |
|
03-10-2005 |
Parsons Roger R. |
Tea SD
Allegation: Failure to report other states actions to Iowa Insurance Division
Resolution: Consent signed: Cease and desist from violation of Iowa Code Chapter 522B; Pay $150 Fine and $100 Costs
Date of Order/Settlement: 2005-03-10 00:00:00 |
|
|
03-02-2005 |
In the Matter of LH Ross & Company Inc. |
Proposed Findings of Fact Conclusions of Law and Order |
Final |
|
03-01-2005 |
In the Matter of Sandy Corder |
Order and Consent to Order |
Final |
|
02-26-2005 |
L. H. Ross & Company Inc. |
Boca Raton FL
Allegation: Failed to respond to Division inquiry/investigation
Resolution: Suspended until file a full response; $500 Costs
Date of Order/Settlement: 2005-02-26 00:00:00 |
|
|
02-24-2005 |
Corder Sandy |
Highland IN
Allegation: Failure to respond to Division inquiries; submitted insufficient funds check.
Resolution: Consent to Order: License revoked; Pay $100 costs and fines before reapplication for licensure in Iowa; Cease and desist any violation of Iowa insurance laws
Date of Order/Settlement: 2005-02-24 00:00:00 |
|
|
02-18-2005 |
Custom Dollar Systems LLC Mercural Wayne |
Omaha NE
Allegation: Failure to register securities misrepresentation; omissions
Resolution: Order: Cease and desist the offer of sale of unregistered securities cease and desist acting as agents without registration employer unregistered agents to solicit making untrue statements of material; Pay $5000 fine.
Date of Order/Settlement: 2005-02-18 00:00:00 |
|
|
02-09-2005 |
In the Matter of Pipkin Asset Management Inc.; Chris Howard Pipkin |
Order and Consent To Order and Agreement |
Final |
|
01-26-2005 |
Pipkin Chris Howard |
Cedar Rapids IA
Allegation: Unlicensed investment advisor; Filed misleading Form U-4 Application; failure to report outside business activities; misrepresentations; omissions; effective transactions through deceptive means.
Resolution: Order and Consent to Order and Agreement: 23 month bar on reapplying for an Iowa securities agent license; agrees to reimburse Division $1000 for costs incurred
Date of Order/Settlement: 2005-01-26 00:00:00 |
|
|
01-18-2005 |
Koch Edward T. |
Holy Cross IA
Allegation: Failure to comply with child support order
Resolution: License suspended
Date of Order/Settlement: 2005-01-18 00:00:00 |
|
|
01-07-2005 |
Simonsen Capital LLC; Matt Simonsen |
Agreement |
Final |
|
01-04-2005 |
Simonsen Capital LLC Simonsen Matt |
Coralville IA
Allegation: Acting as unlicensed investment adviser and unlcensed investment adviser representative in Iowa
Resolution: Voluntary agreement to register as investment adviser and investment adviser representative notify the Securities Bureau of any consumer complaints for calendar year 2005; pay $500 Costs.
Date of Order/Settlement: 2005-01-04 00:00:00 |
|
|
12-22-2004 |
In the Matter of Jerry L. Peters Julep Financial Servies TLD |
Cease and Desist Order |
Final |
|
12-20-2004 |
In the Matter of Milton W. Anania |
Order and Consent to Order |
Final |
|
12-17-2004 |
Knutson Randy G |
Ankeny IA
Allegation: Forgery
Resolution: 1 yr probation; $1500 fine; Cease & Desist from signing customers names on insurance documents
Date of Order/Settlement: 2004-12-17 00:00:00 |
|
|
12-14-2004 |
Anania Milton W (Mike) |
Des Moines IA
Allegation: Using unlicensed individuals to solicit and sell; allowing them to sign his name and submit applications; collected commissions for these sales.
Resolution: Consent signed; license suspended 30 days; 1 year probation; Cease and Desist charging $50 documentation fee; Attend ethics class; Pay $5000 fine $500 administrative costs.
Date of Order/Settlement: 2004-12-14 00:00:00 |
|