Administrative Orders and Actions

Post date Matter Order Status
09-07-2004 In the Matter of Edwin Pace Proposed Findings of Fact Conclusions of Law and Order Final
09-07-2004 Pace Edwin Indianola IA Allegation: Offered and sold unregistered securities; omission of material facts; no securities license incompetence and untrustworthiness; violations of the Iowa Consumer Fraud Act. Resolution: Order: License revoked; not eligible for licensure until obligations imposed by the Iowa District Court are fully satisfied. Date of Order/Settlement: 2004-09-08 00:00:00
09-01-2004 In the Matter of Karl Paul Ritland Order and Consent to Order Final
08-31-2004 Ritland Karl Paul Des Moines IA Allegation: Unauthorized trades and use of discretionary power Resolution: Consent: Securities license censured; 1 year probation; Pay $250 Fine and $250 Costs Date of Order/Settlement: 2004-09-01 00:00:00
08-26-2004 In the Matter of Jerome J. OConnor Jr. Proposed Findings of Fact Conclusions of Law and Order Final
08-26-2004 In the Matter of Samuel W. Walker Proposed Findings of Fact Conclusions of Law and Order Final
08-26-2004 OConnor Jr. Jerome J. Omaha NE Allegation: Forgery; use of fraudulent coercive or dishonest practices Resolution: Order signed: License permanently revoked Date of Order/Settlement: 2004-08-27 00:00:00
08-23-2004 In the Matter of USI of Georgia Inc. Order and Consent to Order Final
08-23-2004 Walker Samuel W. Waterloo IA Allegation: Failure to disclose prior criminal convictions on license application Resolution: Order signed: License revoked Date of Order/Settlement: 2004-08-24 00:00:00
08-22-2004 USI of Georgia Inc. Norfolk VA Allegation: Did not remit surplus lines taxes; no Iowa licensed producer; Resolution: Consent signed: Cease and desist conducting business until employee licensed in Iowa; pay $4500 Fine; and $500 Costs. Date of Order/Settlement: 2004-08-23 00:00:00
08-10-2004 Cooper Byron D. Cedar Rapids IA Allegation: Unlicensed to sell securities; Sale of alleged investments in unregistered securities promissory notes Resolution: Consent signed: Cease and desist sale or offer to sell securities without a securities license; 2 years probation; $5000 civil penalty. Date of Order/Settlement: 2004-08-11 00:00:00
08-10-2004 Kempema David J. Sioux City IA Allegation: Failed to correct address at the Division; used unapproved marketing material; employed unlicensed employees doing insurance business; violation of 508C.18 in soliciting business. Resolution: Consent: Notify Division within 30 days of address change; use only company approved marketing materials; will not use any unlicensed employees doing insurance transactions;will protect confidential client info; pay $2500 Fine; no reference to 508C.18 Date of Order/Settlement: 2004-08-11 00:00:00
08-05-2004 In the Matter of Sunrise Energy Inc.; Shea Silva Cease and Desist Order Final
08-05-2004 Silva Shea Santa Ana CA Allegation: Sale of unregistered securities by an unregistered agent Resolution: Order: Cease and desist of sale or offer of sale of unregistered securities in Iowa Date of Order/Settlement: 2004-08-06 00:00:00
08-05-2004 Sunrise Energy Inc. Irvine CA Allegation: Selling nregistered securities unregistered agent Resolution: Order: Cease and desist the offer or sale of and participating in the offer or sale of unregistered securities Date of Order/Settlement: 2004-08-06 00:00:00
08-01-2004 In the Matter of Ronald S. Helland Order and Consent to Order Final
08-01-2004 In the Matter of Johnathan C. Ahlf Proposed Findings of Fact Conclusions of Law and Order Final
08-01-2004 In the Matter of Daniel E. Mauro Proposed Findings of Fact Conclusions of Law and Order Final
08-01-2004 Helland Ronald S. Ames IA Allegation: Forging of customers signatures on insurance form Resolution: Consent: Cease and desist from allegation; pay $400 Fine and $100 Costs Date of Order/Settlement: 2004-08-02 00:00:00
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