Administrative Orders and Actions

Post date Matter Order Status
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Koch Edward T. Holy Cross IA Allegation: Failure to pay child support Resolution: License suspended 9/1/04 SUSPENSION WITHDRAWN Date of Order/Settlement: 2004-07-12 00:00:00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
04-19-2004 Hifilez Inc. Eagle Grove IA Allegation: Shares of stock offered by Hifilez are not registered as securities in Iowa. Resolution: Order: Cease and Desist the offer or sale of unregistered and non-exempt securities in Iowa. Date of Order/Settlement: 2004-04-20 00:00:00
04-13-2004 In the Matter of Monte Lorenzen Order and Consent to Order Final
04-13-2004 In the Matter of Larry Lavin Order and Consent to Order Final
04-11-2004 In the Matter of David R. Bahls Order and Consent to Order Final
04-07-2004 Lavin Larry Milford IA Allegation: Violation of previous order Resolution: Consent Signed: Insurance license permanently revoked. Date of Order/Settlement: 2004-04-08 00:00:00
04-04-2004 Bahls David R. Elkader IA Allegation: Criminal record Resolution: Consent signed: 2 yrs probation; report any criminal prosecution within 30 days. Date of Order/Settlement: 2004-04-05 00:00:00
04-02-2004 Lorenzen Monte Panora IA Allegation: Sale of unregistered securities/viatical settlement contracts; unregistered securities agent; fraudulent securities practices; misrepresentation of material facts; unsuitable sales; advertising violations;violation of prior order and consent to order. Resolution: Consent signed: Cease any offers & all sales of insurance products on 5/1/04; surrender Iowa insurance producer license 5/30/04; permanently barred from reapplying for Iowa insurance license & securities license; cease & desist; Pay $1000 Costs Date of Order/Settlement: 2004-04-01 00:00:00
04-02-2004 OConnor Jr. Jerome J. Omaha NE Allegation: Failure to comply with previous order Resolution: Consent Signed: Agreed to continue suspension of non resident license pending compliance with previous order Date of Order/Settlement: 2004-04-01 00:00:00
04-02-2004 Engels Constance D. Marble Rock IA Allegation: Unsuitable sales Resolution: Consent signed: 2 yrs probation; $500 F; document suitability for all new and replacement life insurance and annuity sales Date of Order/Settlement: 2004-04-02 00:00:00
03-31-2004 In the Matter of Emily J. Halsband Order and Consent to Order and Agreement Final
03-30-2004 Laurence Larry D. Pt. Richmond CA Allegation: Failure to report other states actions; failure to timely respond to Divisions inquiry. Resolution: Consent: Pay $200 Fine and $100 Costs; comply with the reporting requirements and fully comply with requests for information from the Division. Date of Order/Settlement: 2004-03-30 00:00:00