Administrative Orders and Actions

PLEASE NOTE: Prior to April 17, 2015, the Division placed both enforcement and administrative orders and actions on this page. After that date, only new administrative orders and actions will be posted here.

Enforcement orders and actions made after that date will be posted at http://www.iid.state.ia.us/enforders_list.

Post date Matter Order Status
12-07-2012 In the Matter of Lori Mitchell

Order for Suspension

Final
11-27-2012 In the Matter of Korey Davis

Order for Suspension

Final
11-21-2012 In the Matter of Bankers Life & Casualty Company

Regulatory Settlement Agreement

Final
11-21-2012 In the Matter of Chantelle Morman

Order for Suspension

Final
11-20-2012 In the Matter of Carla Riley

Order for Suspension

Final
11-20-2012 In the Matter of Stephanie Larson

Order for Suspension

Final
11-19-2012 In the Matter of John Hancock

Regulatory Settlement Agreement

Final
11-16-2012 In the Matter of Justin Peppard

Order for Suspension

Final
11-16-2012 In the Matter of ProEquities, Inc.

Administrative Consent Order

Final
11-13-2012 In the Matter of David Rowell

Order for Suspension

Final
11-13-2012 In the Matter of Christopher Sessions

Order for Suspension

Final
11-09-2012 In the Matter of Aaron Madsen

Order for Suspension

Final
11-09-2012 In the Matter of Stephen Lickiss

Order for Suspension

Final
11-06-2012 In the Matter of BANKERS LIFE AND CASUALTY COMPANY and BLC FINANCIAL SERVICES, INC.

Administrative Consent Order

Final
10-26-2012 In the Matter of Joseph Fitzgibbon

Order for Suspension; Order Reinstating License After Suspension

Final
10-24-2012 In the Matter of Charles Kapp

Order for Suspension

Final
10-22-2012 In the Matter of American International Group, Inc.

Regulatory Settlement Agreement

Final
10-21-2012 In the Matter of the Certificate of Authority of STANDARD LIFE INSURANCE COMPANY OF INDIANA

Suspension Order

Final
10-15-2012 In the Matter of Nationwide Financial Services, Inc., Nationwide Life Insurance Company, Nationwide Life and Annuity Insurance Company, Nationwide Life Insurance Company of America and Nationwide Life and Annuity Insurance Company of America

Regulatory Settlement Agreement

Final
10-12-2012 In the Matter of Jeffrey Schmidt

Order for Suspension

Final
10-12-2012 In the Matter of Curtis Kelderman

Order for Suspension

Final
10-12-2012 In the Matter of Thomas Atwood

Order for Suspension

Final
10-12-2012 In the Matter of Richie Logsdon

Order for Suspension

Final
10-11-2012 In the Matter of Timothy Lloyd

Order for Suspension

Final
10-11-2012 In the Matter of Russell Brown

Order for Suspension

Final
10-11-2012 In the Matter of Linda Oberly

Order for Suspension

Final
10-08-2012 In the Matter of Douglas E. Welte

Order & Consent to Order

Final
10-01-2012 In the Matter of Mark E. Abel

Order for Suspension

Final
10-01-2012 In the Matter of Sandy Grillet

Order for Suspension

Final
10-01-2012 In the Matter of Connie Lacour

Order for Suspension

Final
09-17-2012 In the Matter of E*Trade Securities LLC

Administrative Consent Order

Final
09-17-2012 In the Matter of RAYMOND JAMES & ASSOCIATES, INC., AND RAYMOND JAMES FINANCIAL SERVICES, INC.

Administrative Consent Order

Final
09-08-2012 In the Matter of James J. Ellis

Order & Consent to Order

Final
09-07-2012 In the Matter of Michael Black

Order for Suspension

Final
09-05-2012 In the Matter of Ryder System, Inc.

Order & Consent to Order

Final
08-22-2012 In the Matter of Terry Stammer

Order for Suspension; Order Reinstating License After Suspension

Final
08-22-2012 In the Matter of James J. Ellis

Proposed Decision

Final
08-16-2012 In the Matter of Kathleen M. Vonk

Proposed Decision

Final
08-16-2012 In the Matter of the Certificate of Authority of Standard Life Insurance Company of Indiana

Suspension Order

Final
08-10-2012 In the Matter of Rodney D. Berry

Proposed Decision

Final
08-02-2012 In the Matter of John M. Stepanek

Order & Consent to Order

Final
08-01-2012 In the Matter of Rayna Thomas

Order for Suspension

Final
08-01-2012 In the Matter of Tomica Neal

Order for Suspension

Final
07-30-2012 In the Matter of MORGAN ASSET MANAGEMENT, INC., and MORGAN KEEGAN & COMPANY, INC.

Administrative Consent Order

Final
07-30-2012 In the Matter of Alegent Health System

Order & Consent to Order

Final
07-27-2012 In the Matter of the Certificate of Authority of Millers First Insurance Company

Suspension Order

Final
07-22-2012 In the Matter of Dale Phillips

Order for Suspension; Order Reinstating License After Suspension

Final
07-16-2012 In the Matter of Richard Kingston

Order for Suspension; Order Reinstating License After Suspension

Final
07-13-2012 In the Matter of Michael Spratt

Order for Suspension

Final
07-13-2012 In the Matter of the Certificate of Authority of Lumbermens Mutual Casualty Company

Suspension Order

Final