| Post date | Matter | Order | Status |
|---|---|---|---|
| 07-26-2004 | Ahlf Johnathan C. | Muscatine IA Allegation: Application fraud; forgery of customer signatures;fraudulent or dishonest practices. Resolution: Order: License revoked Date of Order/Settlement: 2004-07-27 00:00:00 | |
| 07-21-2004 | In the Matter of Bruce D. Parks | Order and Consent to Order | Final |
| 07-21-2004 | Parks Bruce D. | Burlington IA Allegation: Sale of unregistered securities and/or unregistered business opportunities without proper licensure. Resolution: Consent signed: Iowa insurance license permanently revoked; cease and desist participating in any activiites that require an insurance license and sale of unregistered securities and/or business opportunities in Iowa. Date of Order/Settlement: 2004-07-22 00:00:00 | |
| 07-20-2004 | In the Matter of Steven A. Purdue | Proposed Findings of Fact Conclusions of Law and Order | |
| 07-20-2004 | Mauro Daniel E. | Des Moines IA Allegation: Requested an administrative hearing for non-renewal of license. Resolution: Order: Commissioners denial of application for licensure upheld Date of Order/Settlement: 2004-07-21 00:00:00 | |
| 07-19-2004 | In the Matter of Lorenzo Dodd | Proposed Findings of Fact Conclusions of Law and Order | |
| 07-19-2004 | In the Matter of Jason A. Hartsock | Proposed Findings of Fact Conclusions of Law and Order | |
| 07-19-2004 | In the Matter of Lisa Spees | Proposed Findings of Fact Conclusions of Law and Order | |
| 07-18-2004 | Perdue Steven A. | Cleveland OH Allegation: Failure to notify of other states action; providing incorrect information on license application; Resolution: Order: License revoked Date of Order/Settlement: 2004-07-19 00:00:00 | |
| 07-14-2004 | Spees Lisa | Keokuk IA Allegation: Using fraudulent or dishonest practices; failure to cooperate Resolution: Order: License revoked Date of Order/Settlement: 2004-07-15 00:00:00 | |
| 07-12-2004 | In the Matter of Mervin Duane Hague; Nutrition And Wellness Research Institute Inc. | Cease and Desist Order and Consent to Cease and Desist Order | Final |
| 07-12-2004 | In the Matter of David Markowitz; Blue Square Management Inc | Cease and Desist Order | Final |
| 07-11-2004 | In the Matter of Sterling Blackthorn Inc.; Scott Machuta | Cease and Desist Order | Final |
| 07-11-2004 | Koch Edward T. | Holy Cross IA Allegation: Failure to pay child support Resolution: License suspended 9/1/04 SUSPENSION WITHDRAWN Date of Order/Settlement: 2004-07-12 00:00:00 | |
| 07-11-2004 | Trawick Daryl C. | Mobile AL Allegation: Failure to report other states actions. Resolution: Consent: Pay $250 fine and $100 costs; agrees to follow all Iowa statutory and administrative requirements and only sell insurance products approved for use by admitted insurance companies. Date of Order/Settlement: 2004-07-12 00:00:00 | |
| 07-01-2004 | In the Matter of Barbara Jean (Hatinger) Fischer | Cease and Desist Order and Consent to Cease and Desist Order and Agreement | Final |
| 07-01-2004 | Fischer Barbara Jean (Hatinger) | Cedar Falls IA Allegation: Sold unregistered securities; acted as an unregistered agent; misrepresented and omitted material facts. Resolution: Consent: Cease and desist the offer or sale of unregistered securities; acting as an agent without registration; making untrue statement of material facts; omitting material facts in the sale of securities assessed $4000 Fine and $100 Costs. Date of Order/Settlement: 2004-07-02 00:00:00 | |
| 06-30-2004 | Nutrition and Wellness Research Institute Inc. (NWRI) | Evansdale IA Allegation: Misrepresentation; sale of unregistered non exempt securities; employing unregistered agents; made untrue statements of material facts; omissions of material facts in the sale. Resolution: Orders: Cease and desist the offer or sale of unregistered non exempt securities employing unregistered agents to solicit in Iowa making untrue statements of material facts; omission of material facts. Date of Order/Settlement: 2004-07-01 00:00:00 | |
| 06-30-2004 | Hague Mervin Duane | Evansdale IA Allegation: Unregistered agent; misrepresentations; omissions of material facts in the sale of securities. Resolution: Order: Cease and desist the offer or sale of unregistered non exempt securities; acting as securities agent without registration in Iowa; making untrue statements; omitting material facts. Date of Order/Settlement: 2004-07-01 00:00:00 | |
| 06-23-2004 | Hartsock Jason A. | Iowa City IA Allegation: Failure to disclose any prior criminal history Resolution: Order: Iowa Insurance license revoked. Date of Order/Settlement: 2004-06-24 00:00:00 | |
| 06-23-2004 | Dodd Lorenzo | Cedar Rapids IA Allegation: Failure to disclose all criminal convictions on application Resolution: Order: Denial of application for an linsurance license is upheld. Date of Order/Settlement: 2004-06-24 00:00:00 | |
| 06-22-2004 | In the Matter of Pekin Insurance Company | Order and Consent to Order | Final |
| 06-21-2004 | Pekin Insurance Company | Pekin IL Allegation: Allowed business from agent not properly licensed. Resolution: Order: Pay $3500 Fine; Pay $1500 Costs; contact policyholders; resolve any unmet policyholder needs with costs assess to the agents/agency with report to Division on resolutions with policyholders. Date of Order/Settlement: 2004-06-22 00:00:00 | |
| 06-09-2004 | In the Matter of Siebring Export Inc.; Gordon Siebring Jr. | Cease and Desist Order | Final |
| 06-09-2004 | Sterling Blackthorn Inc. | Mount Pleasant MI Allegation: Selling/offering unregistered securities in Iowa. Resolution: Order: Cease and desist the offer or sale of unregistered and non exempt securities in Iowa. Date of Order/Settlement: 2004-06-10 00:00:00 | |
| 06-09-2004 | Machuta Scott | Mount Pleasant MI Allegation: Not registered as a securities agent in Iowa; Sold investments/promissory notes not registered as securities in Iowa. Resolution: Order: Cease and desist acting as an agent in Iowa without registration; cease and desist the orffer or sale of unregistered and non exempt securities in Iowa. Date of Order/Settlement: 2004-06-10 00:00:00 | |
| 06-07-2004 | Standard Guaranty Insurance Company | Miami FL Allegation: Failure to cooperate with Divisions inquiry Resolution: Consent Signed: Provided response to Divisions inquiry; Paid $500 Fine Date of Order/Settlement: 2004-06-08 00:00:00 | |
| 06-03-2004 | In the Matter of Amerivision Communications Inc. | Cease and Desist Order | Final |
| 05-23-2004 | In the Matter of Edward Lee Sensor | Consideration of States Motion For Sanctions For Willful Failure to File an Answer Within Twenty Days Award of Costs and Entry of Default Judgment and Order | Final |
| 05-23-2004 | In the Matter of Hifilez Inc. Mike Stevens and David Bates | Cease and Desist Order | Final |
| 05-23-2004 | Sensor Edward Lee | Sterling IL Allegation: Unlicensed Insurance Producer; Twisting Policies; Misrepresentations in insurance applications; Suitability; Personal Loan from unrelated insurance customer; lack of character and competence Resolution: Order: Adjudged to have committed the violations; Cease and desist from any further actions as set forth in the Statement of Charges; Assessed $2000 fine and $500 costs. Date of Order/Settlement: 2004-05-24 00:00:00 | |
| 05-18-2004 | Blue Square Management Inc. | New York NY Allegation: Not licensed as a broker-dealer or issuer to offer or sell securities in Iowa. Resolution: Order: Cease and desist the offer or sale of unregistered non exempt securities; employing non registered agents in Iowa; making untrue statements of material facts; omission of facts; pay $5000 fine; $1000 costs Date of Order/Settlement: 2004-05-19 00:00:00 | |
| 05-18-2004 | Markowitz David | New York NY Allegation: Not licensed to sell or offer securities in Iowa; misrepresentations; omissions of material facts in the sale of securities. Resolution: Order: Cease and desist the offer or sale of unregistered non exempt and not federal covered securities in Iowa; acting as gentes in Iowa without registration; employing individiuals not registered as agents to solicit the sale of securities et al. Date of Order/Settlement: 2004-05-19 00:00:00 | |
| 05-17-2004 | Centre Life Insurance Company | New York NY Allegation: Failure to respond to Divisions inquiry Resolution: Consent: Provide substantive response; Pay $1000 costs Date of Order/Settlement: 2004-05-18 00:00:00 | |
| 05-13-2004 | Crown Life Insurance Company | Regina Saskatchewant Canada Allegation: Failure to respond to Divisions inquiry Resolution: Consent: Provide substantive response; Pay $500 Costs Date of Order/Settlement: 2004-05-14 00:00:00 | |
| 05-13-2004 | MAGNA Insurance Company | New Orleans LA Allegation: Failure to respond to Divisions inquiry Resolution: Consent: Provide a substantiave response; Pay $500 Costs Date of Order/Settlement: 2004-05-14 00:00:00 | |
| 05-13-2004 | Mutual Service Life Insurance Company | Arden Hills MN Allegation: Failure to respond to Division inquiry Resolution: Consent: Provide substantive response; pay $500 Costs Date of Order/Settlement: 2004-05-14 00:00:00 | |
| 05-13-2004 | Royal Indemnity Company | Charlotte NC Allegation: Failure to respond to Division request for information Resolution: Consent signed: Provide substantive response to Divisions inquiry; Pay $500 Costs Date of Order/Settlement: 2004-05-14 00:00:00 | |
| 05-11-2004 | In the Matter of Rick L. Matney | Order and Consent to Order | Final |
| 05-11-2004 | Schletter Travis P. | Davenport IA Allegation: Failure to pay child support Resolution: License Suspended Date of Order/Settlement: 2004-05-12 00:00:00 | |
| 05-04-2004 | TIG Insurance Company | Irving TX Allegation: Failure to provide response to Divisions inquiry Resolution: Consent: Provide a stubstantive response; Pay $1000 Costs Date of Order/Settlement: 2004-05-05 00:00:00 | |
| 05-02-2004 | In the Matter of Edward Lee Sensor | Cease and Desist Order | Final |
| 05-02-2004 | AMERIVISION COMMUNICATIONS INC. | Oklahoma City OK Allegation: Sale of unregistered securities Resolution: Cease and Desist the offer or sale of unregistered securities and non-exempt securities Date of Order/Settlement: 2004-05-03 00:00:00 | |
| 05-02-2004 | Siebring Export Inc. | Albion IA Allegation: Sale of unregistered securities by an unregistered agent Resolution: Cease and desist the offer or sale of unregistered non-exempt securities in Iowa Date of Order/Settlement: 2004-05-03 00:00:00 | |
| 05-02-2004 | Siebring Gordon | Albion IA Allegation: Sale of unregistered non exempt securities by an unregistered agent Resolution: Cease and desist the offer or sale of unregistered and non-exempt securities in Iowa Date of Order/Settlement: 2004-05-03 00:00:00 | |
| 04-29-2004 | In the Matter of Roderick P. Gibson | Order for Entry of Default Judgement | Final |
| 04-29-2004 | In the Matter of Mark E. Bostwick | Proposed Findings of Fact Conclusions of Law and Order | Final |
| 04-26-2004 | Extraordinary Films aka Extraordinary Media Group Ltd; Perioxide Pictures LLC; Van Slee Andrew |
San Diego CA Beverly Hills CA Chula Vista CA Allegation: Selling unregistered securities Resolution: Order: Cease and desist the offer or sale of unregistered securities Date of Order/Settlement: 2004-04-27 |
Final |
| 04-19-2004 | Stevens Mike | Eagle Grove IA Allegation: Acting as unregistered securities agent Resolution: Order: Cease and desist acting as a securities agent without registration. Date of Order/Settlement: 2004-04-20 00:00:00 | |
| 04-19-2004 | Bates David | Barnum IA Allegation: Acting as unregistered securities agent Resolution: Order: Cease and desist acting as a securities agent without registration. Date of Order/Settlement: 2004-04-20 00:00:00 |