Administrative Orders and Actions

Post date Matter Order Status
10-06-2004 Edward D. Jones & Co. L.P. St. Louis MO Allegation: Failed to reasonably supervise securities agent Resolution: Cease and desist filing to supervise; Pay $9500 Fine and Costs Date of Order/Settlement: 2004-10-07 00:00:00
10-05-2004 Anderson Neil R. Dixon IA Allegation: Using fraudulent or dishonest practices; failure to cooperate in an investiagion by commissioner Resolution: Order signed: License revoked Date of Order/Settlement: 2004-10-06 00:00:00
10-04-2004 Cross Scott K. Perry IA Allegation: Improper withholding misappropriating or conversion of moneys; failure to cooperate with investigation by commissioner Resolution: Order signed: License revoked Date of Order/Settlement: 2004-10-05 00:00:00
10-03-2004 In the Matter of Learn Waterhouse Inc.; Randy Treadwell; Gene Thompson; Tom Zielske Cease and Desist Order Final
10-03-2004 Learn Waterhouse Inc. Randy Treadwell Gene Thompson Tom Zielske Edinburg TX Allegation: Unregistered Securities; Unregisterd Agent material misrepresentations and omissions Resolution: Order: Cease and desist the offer or sal of unregisterd non exempt securities; cease and desist acting as an agent without registration; making misrepresentations and omissions of material facts; Date of Order/Settlement: 2004-10-04 00:00:00
09-29-2004 In the Matter of Dennis M. Stephens Proposed Findings of Fact Conclusions of Law and Order Final
09-19-2004 In the Matter of Home Solutions Real Estate Investments Inc.; Mike Larpenter; Patricia Larpenter Cease and Desist Order Final
09-19-2004 In the Matter of Aaron Chamley; Chamley Financial LLC; and James Chamley Cease and Desist Order Final
09-19-2004 Chamley James Colorado Springs CO Allegation: Sold viatical settlement investment contracts while unregistered Resolution: Cease and Desist issued to halt sale of unregistered securities Date of Order/Settlement: 2004-09-20 00:00:00
09-19-2004 Chamley Financial LLC Colorado Springs CO Allegation: Sold viatical settlement investment contracts while unregistered Resolution: Cease and desist issued to halt sale of unregistered securities Date of Order/Settlement: 2004-09-20 00:00:00
09-19-2004 Chamley Aaron Van Wert IA Allegation: Sold viatical settlement investment contracts while unregistered. Resolution: Cease and desist issued to hald the sale of unregistered securities; cease and desist acting as unregistered agent Date of Order/Settlement: 2004-09-20 00:00:00
09-16-2004 Larpenter Patricia Des Moines IA Allegation: Offered and sold unregistered securities (promisary notes); misrepresented material facts; omitted material facts. Resolution: Cease and desist ordering hald sales and offers to sell securities; misrepresentation and omission of material facts in the offer and selling of securities; cease and desist acting as agents while unregistered Date of Order/Settlement: 2004-09-17 00:00:00
09-16-2004 Larpenter Mike Des Moines IA Allegation: Offered and sold unregistered securities (promisary notes); misrepresented material facts; omitted material facts. Resolution: Cease and desist ordering hald sales and offers to sell securities; misrepresentation and omission of material facts in the offer and selling of securities; Cease and desist acting as agents while unregistered Date of Order/Settlement: 2004-09-17 00:00:00
09-16-2004 Home Solutions Reals Estate Investments Inc. Des Moines IA Allegation: Offered and sold unregistered securities (promisary notes); misrepresented material facts; omitted material facts. Resolution: Cease and desist ordering hald sales and offers to sell securities; misrepresentation and omission of material facts in the offer and selling of securities Date of Order/Settlement: 2004-09-17 00:00:00
09-12-2004 Porterfield III Herlen C. Lansdowne PA Allegation: Providing incorrect information on License Application; conviction of a velony revocation of license in another state; failure to cooperate in investigation by commissioner Resolution: Order: License revoked Date of Order/Settlement: 2004-09-13 00:00:00
09-08-2004 American Equity Investment Life Ins. Co. Des Moines IA Allegation: Failure to submit dividend information to Insurance Division prior to declaration and payment to stockholders. Resolution: Consent signed: Agree to list dividends from January 1 2000 to present; report all dividends within 5 business days; pay $1500 fine and $500 Costs Date of Order/Settlement: 2004-09-09 00:00:00
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