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01-08-2010 |
In the Matter of Adrienne Stoglin-Boore |
Order for Suspension |
Final |
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12-29-2009 |
In the Matter of Petition For the Waiver By Annett Holdings Inc. d/b/a TMC Transportation Inc. |
Order - Waiver of 191-57.3(1) |
Final |
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12-16-2009 |
In the matter of the application of FARM BUREAU MUTUAL INSURANCE COMPANY for approval of a plan to create FARM BUREAU MUTUAL HOLDING COMPANY and FARM BUREAU MULTI-STATE SERVICES INC. and convert FARM BUREAU MUTUAL…into a stock Insurance Company |
Findings of Fact Conclusions of Law and Order |
Final |
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12-10-2009 |
In the Matter of OM Financial Life Insurance Company |
Order and Consent to Order |
Final |
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12-01-2009 |
In the Matter of James Opheim |
Order and Consent to Order |
Final |
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11-24-2009 |
In re the Matter of Floyd Sheridan |
Order and Consent to Order |
Final |
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11-24-2009 |
In re the application of UNITED FIRE & CASUALTY COMPANY for approval of an Assumption Reinsurance Agreement with TEXAS GENERAL INDEMNITY COMPANY |
Findings of Fact Conclusions of Law and Order |
Final |
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11-18-2009 |
In re the Matter of Brenda Newcomb |
Order for Suspension |
Final |
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11-16-2009 |
In the Matter of TD Ameritrade Inc. |
Administrative Consent Order |
Final |
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10-25-2009 |
In the matter of the Kohls Department Stores Respondent |
Order and Consent to Order |
Final |
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10-25-2009 |
In re the application of CENTRAL UNITED LIFE INSURANCE COMPANY for approval of an Assumption Reinsurance Agreement with EMC NATIONAL LIFE COMPANY |
Findings of Fact Conclusions of Law and Order |
Final |
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10-04-2009 |
In the Matter of Shannon Marie Sovia |
Order for Suspension |
Final |
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10-04-2009 |
In the Matter of Charles D White |
Order for Suspension |
Final |
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10-04-2009 |
Sovia Shannon |
Atlantic IA
Allegation: Failure to pay state debt.
Resolution: Order for Suspension issued.
Date of Order/Settlement: 2009-10-05 00:00:00 |
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09-29-2009 |
In re the Matter of Conseco Life Insurance Company |
Stipulation and Standstill Agreement Regarding Summary Cease and Desist Order |
Final |
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09-28-2009 |
In the Matter of Daniel William Kemper |
Default Decision |
Final |
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09-28-2009 |
Kemper Daniel |
Hallsville MO
Allegation: Misleading sales presentations; Misrepresenting the terms of a contract; demonstrating incompetence in the conduct of business; Failing to cooperate with an investigation.
Resolution: Default decision issued and license revoked.
Date of Order/Settlement: 2009-09-29 00:00:00 |
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09-08-2009 |
In re the application of AMERICAN INVESTORS LIFE INSURANCE COMPANY INC for Approval of a Plan of Merger with AVIVA LIFE AND ANNUITY COMPANY |
Findings of Fact Conclusions of Law and Order |
Final |
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09-08-2009 |
In re the application of NIPPON LIFE INSURANCE COMPANY OF AMERICA for approval of an Assumption Agreement with MADISON NATIONAL LIFE INSURANCE COMPANY |
Findings of Fact Conclusions of Law and Order |
Final |
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09-07-2009 |
In the Matter of Prosper Marketplace Inc |
Administrative Consent Order |
Final |
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09-03-2009 |
In the Matter of John D Kouri |
Order and Consent to Order |
Final |
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09-03-2009 |
Kouri John |
Urbandale IA
Allegation: Forgery
Resolution: Consent Order and monetary penalty
Date of Order/Settlement: 2009-09-04 00:00:00 |
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09-02-2009 |
In the Matter of Michael Roling |
Consent Order |
Final |
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08-31-2009 |
In the Matter of William Lehmann |
Cease and Desist Order |
Final |
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08-27-2009 |
In the Matter of Merrill Lynch Pierce Fenner & Smith Inc |
Administrative Consent Order |
Final |
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08-27-2009 |
In the Matter of RBC Capital Markets Corporation |
Administrative Consent Order |
Final |
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08-27-2009 |
In the Matter of application of GPFT HOLDCO LLC GUGGENHEIM CAPITAL LLC and CHARLES A. SAMMONS 1987 CHARITABLE REMAINDER TRUST 2 for approval of a plan to acquire control of WELLMARK COMMUNITY INSURANCE INC. |
Findings of Fact Conclusions of Law and Order |
Final |
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08-19-2009 |
In the Matter of Banc of America Securities LLC and Banc of America Investment Services Inc |
Administrative Consent Order |
Final |
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08-18-2009 |
In the Matter of Marshall Cemetery Association dba Riverside Cemetery |
Voluntary Settlement and Consent Order |
Final |
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08-18-2009 |
Marshall Cemetery Association d/b/a Riverside Cemetery |
Marshalltown IA
Allegation: submitted verification that it repaid interest mistakenly withdrawn.
Resolution: Voluntary Settlement and Consent Order issued.
Date of Order/Settlement: 2009-08-19 00:00:00 |
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08-12-2009 |
In the Matter of All American Homes of Iowa LLC |
Order and Consent to Order |
Final |
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08-12-2009 |
In the Matter of Roger D Ball |
Order and Consent to Order |
Final |
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08-12-2009 |
All American Homes of Iowa LLC |
Middlebury IN
Allegation: Failed to timely file
Resolution: Consent Order issued and monetary penalty assessed.
Date of Order/Settlement: 2009-08-13 00:00:00 |
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08-12-2009 |
Ball Roger |
Blair NE
Allegation: Failed to disclose previous administrative actions in his applications to become a non-resident Iowa Insurance producer.
Resolution: Consent Order issued and monetary penalty assessed.
Date of Order/Settlement: 2009-08-13 00:00:00 |
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08-11-2009 |
In the Matter of Sherwin Hesebeck |
Order and Consent to Order |
Final |
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08-11-2009 |
Hesebeck Sherewin |
Sheldon IA
Allegation: Altered insurance policy applications and altered client premium checks.
Resolution: Order and Consent to Order issued and monetary penalty assessed. Insurance producer license suspended for 180 days.
Date of Order/Settlement: 2009-08-12 00:00:00 |
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08-02-2009 |
In the Matter of James Healey |
Order and Consent to Order and Agreement |
Final |
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07-30-2009 |
In the Matter of Stephen Wiley |
Summary Cease and Desist Order |
Final |
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07-30-2009 |
In the Matter of James H Opheim |
Order of Summary Suspension Order to Cease and Desist and Revocation |
Final |
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07-30-2009 |
Opheim James |
Spencer IA
Allegation: Misappropriation of funds
Resolution: Summary suspension Order to Cease and Desist and Revocation
Date of Order/Settlement: 2009-07-31 00:00:00 |
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07-30-2009 |
Wiley Stephen |
St. Louis Missouri
Allegation: Unlicensed agent
Resolution: Summary Cease and Desist Order issued
Date of Order/Settlement: 2009-07-31 00:00:00 |
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07-29-2009 |
In the Matter of Wachovia Secutities LLC and Wachovia Capital Markets LLC |
Administrative Consent Order |
Final |
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07-29-2009 |
In the Matter of Conseco Life Insurance Company |
Stipulation Further Extending Standstill Agreement Regarding Summary Cease and Desist Order |
Final |
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07-20-2009 |
In the Matter of Justin L Fox |
Lift of License Suspension and Eligibility for Licensure in State of Iowa |
Final |
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07-20-2009 |
In the Matter of Elizabeth J Anderson |
Amendment to Order and Consent to Order |
Final |
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07-20-2009 |
Andersen Elizabeth |
Fort Dodge IA
Allegation: Reconsideration
Resolution: Amendment to Order and Consent to Order
Date of Order/Settlement: 2009-07-21 00:00:00 |
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07-19-2009 |
In the Matter of Citigroup Global Markets Inc |
Administrative Consent Order |
Final |
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07-09-2009 |
In the Matter of Michael Bark |
Cease and Desist order |
Final |
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07-09-2009 |
Bark Michael |
Gretna Louisiana
Allegation: Unregistered agent; unregistered securities; misrepresentations and omissions.
Resolution: Cease and Desist order issued and monetary penalty assessed.
Date of Order/Settlement: 2009-07-10 00:00:00 |
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07-08-2009 |
In the Matter of Jerald Lee Woods |
Default Order |
Final |