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02-05-2009 |
In the Matter of Joann Moffit |
Order |
Final |
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01-23-2009 |
Trenwick American Reinsurance Corporation |
Fairfield CT
Allegation: Failure to respond
Resolution: Consent issued and monetary penalty assessed.
Date of Order/Settlement: 2009-01-23 00:00:00 |
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01-21-2009 |
In the Matter of Mark Geertsma |
Consent Order |
Final |
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01-21-2009 |
Geertsma Mark |
Independence IA
Allegation: Engaged in dishonest and unethical practices in the securities and investment business.
Resolution: Consent Order issued and monetary penalty assessed.
Date of Order/Settlement: 2009-01-21 00:00:00 |
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01-20-2009 |
In the Matter of Trenwick America Reinsurance Corporation |
Order and Consent to Order |
Final |
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01-16-2009 |
In the Matter of Bruce Bergen |
Decision |
Final |
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01-16-2009 |
Bergen Bruce |
Marion IA
Allegation: Failure to Respond to Division Inquiries
Resolution: Decision issued and a monetary penalty assessed.
Date of Order/Settlement: 2009-01-16 00:00:00 |
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01-14-2009 |
Scarborough Joseph Michael |
Prince Frederick MD
Allegation: Prior regulatory action
Resolution: Summary Order Denying Application for Securities Agent License.
Date of Order/Settlement: 2009-01-14 00:00:00 |
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01-05-2009 |
In the Matter of Jeananne M Robins |
Order for Suspension |
Final |
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01-05-2009 |
In the Matter of Larry Lubarsky |
Summary Order Denying Application for Securities Agent License |
Final |
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01-05-2009 |
Robins Jeananne |
Clemmons IA
Allegation: Child support violation.
Resolution: Order for Suspension issued.
Date of Order/Settlement: 2009-01-05 00:00:00 |
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01-05-2009 |
Lubarsky Larry |
Brooklyn NY
Allegation: Prior regulatory action
Resolution: Summary Order Denying Application for Securities Agent License.
Date of Order/Settlement: 2009-01-05 00:00:00 |
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12-31-2008 |
In re the application of FARMERS MUTUAL INSURANCE ASSOCIATION for approval of a Plan of Merger with BUCHANAN MUTUAL INSURANCE ASSOCIATION |
Findings of Fact Conclusions of Law and Order |
Final |
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12-31-2008 |
In re the application of TOYOTA MOTOR INSURANCE COMPANY for approval of a Novation and Assumption Agreement with SENTRUITY CASUALTY COMPANY |
Findings of Fact Conclusions of Law and Order |
Final |
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12-31-2008 |
In the Matter of Trent D. Whitinger |
Order and Consent to Order |
Final |
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12-30-2008 |
Whitinger Trent |
Fairfax IA
Allegation: Falsified coverage
Resolution: Consent Order issued suspending insurance producer license for 180 days and imposed a civil penalty.
Date of Order/Settlement: 2008-12-31 00:00:00 |
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12-18-2008 |
In the Matter of Conseco Life Insurance Company |
Stipulation and Standstill Agreement Regarding Summary Cease and Desist Order |
Final |
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12-09-2008 |
In the Matter of Conseco Life Insurance Company |
Cease and Desist |
Final |
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12-09-2008 |
In the Matter of Michael Hinton |
Order and Consent to Order |
Final |
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12-09-2008 |
HintonMichael |
Bettendorf IA
Allegation: Failure to Respond
Resolution: Consent Order issued and monetary penalty assessed.
Date of Order/Settlement: 2008-12-09 00:00:00 |
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11-20-2008 |
In the Matter of Kensington Resources Inc |
Cease and Desist Order and Subpoena |
Final |
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11-20-2008 |
Kensington Resources Inc. |
Costa Mesa CA
Allegation: Unregistered securities
Resolution: Cease & Desist Order issued and a monetary penalty assessed.
Date of Order/Settlement: 2008-11-20 00:00:00 |
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11-10-2008 |
In the Matter of Church Life Insurance Corporation |
Order and Consent to Order |
Final |
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11-10-2008 |
Church Life Insurance |
New York NY
Allegation: Violation of Iowa Unauthorized Insurers Act.
Resolution: Consent issued and monetary penalty assessed.
Date of Order/Settlement: 2008-11-10 00:00:00 |
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10-30-2008 |
NevadaCare Inc d/b/a Iowa Health Solutions Inc. |
Las Vegas NV
Allegation: Failure or refusal to submit to a peer review; Fail to file or properly complete an application foe renewal of cert of authority; Fail to file or complete a premium tax return
Resolution: Order and Consent to Order issued. NevadaCare will voluntarily withdraw its registration and not transact or solicit business in the state for a period of 5 years.
Date of Order/Settlement: 2008-10-31 00:00:00 |
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10-26-2008 |
In the Matter of Nevadacare Inc. D/B/A Iowa Health Solutions |
Order and Consent to Order and Agreement |
Final |
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10-19-2008 |
In the Matter of Samuel Hermawan |
Decision |
Final |
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10-16-2008 |
Hermawan Samuel |
Des Moines IA
Allegation: Misappropriating monies; Using fraudulent coercive or dishonest practices; Demonstrating incompetence untrustworthiness or financial irresponsibility.
Resolution: Decision issued and monetary penalty assessed.
Date of Order/Settlement: 2008-10-17 00:00:00 |
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09-28-2008 |
In the matter of the application of AVIVA LIFE AND ANNUITY COMPANY for approval of an "Agreement and Plan of Merger" with INDIANAPOLIS LIFE INSURANCE COMPANY |
Findings of Fact Conclusions of Law and Order |
Final |
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09-28-2008 |
In the matter of the application of AVIVA LIFE AND ANNUITY COMPANY for approval of an "Agreement and Plan of Merger" with AVIVA LIFE INSURANCE COMPANY |
Findings of Fact Conclusions of Law and Order |
Final |
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09-28-2008 |
In the Matter of Dennis A. Davis |
Order and Consent to Order |
Final |
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09-25-2008 |
In the Matter of Steven Svoboda |
Order of Summary Revocation |
Final |
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09-25-2008 |
Svoboda Steven |
Washington IA
Allegation: Accepted money from clients that was intended for investment or savings purposes and converted those client funds for personal use.
Resolution: Order of Summary Revocation
Date of Order/Settlement: 2008-09-26 00:00:00 |
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09-24-2008 |
In the Matter of John Vedovino |
Order and Consent to Order |
Final |
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09-24-2008 |
Vedovino John |
Pompton Plains NJ
Allegation: Violation of NYSE rules
Resolution: Consent Order issued and suspension of securities license that shall run concurrent to the NYSE suspension.
Date of Order/Settlement: 2008-09-25 00:00:00 |
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09-11-2008 |
In the Matter of John J. Conroy |
Summary Order Denying Application for Securities Agent License |
Final |
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09-11-2008 |
In re the application of TRANSAMERICA LIFE INSURANCE COMPANY for approval of an "Agreement of Assumption" with CENTRAL BENEFITS MUTUAL INSURANCE COMPANY and affiliate CENTRAL BENEFITS NATIONAL LIFE INSURANCE COMPANY |
Findings of Fact Conclusions of Law and Order |
Final |
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09-11-2008 |
Conroy John |
East Norwich NY
Allegation: Prior regulatory action taken.
Resolution: Summary Order Denying Application for Securities Agent License.
Date of Order/Settlement: 2008-09-12 00:00:00 |
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09-10-2008 |
Clem Anthony |
Ames IA
Allegation: Sumitted a falsified proof of insurance card to Insurance Company to obtain a refund of premiums for customer.
Resolution: Consent Order issued and monetary penalty assessed.
Date of Order/Settlement: 2008-09-11 00:00:00 |
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09-09-2008 |
In re the application of TRANSAMERICA LIFE INSURANCE COMPANY for approval of an Assumption Reinsurance Agreement with MONUMENTAL LIFE INSURANCE COMPANY |
Findings of Fact Conclusions of Law and Order |
Final |
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09-09-2008 |
In re the application of MONUMENTAL LIFE INSURANCE COMPANY for approval of an Assumption Reinsurance Agreement with UNION LABOR LIFE INSURANCE COMPANY |
Findings of Fact Conclusions of Law and Order |
Final |
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08-28-2008 |
In the Matter of Anthony Clem |
Order and Consent to Order |
Final |
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08-24-2008 |
In the Matter of Kevin Brennan |
Summary Order Denying Application For Securities Agent License |
Final |
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08-14-2008 |
In the Matter of Kevin Brennan |
Summary Order Denying Application For Securities Agent License |
Final |
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08-12-2008 |
Whirlpool Corporation |
Benton Harbor MI
Allegation: Failure to timely file renewal.
Resolution: Consent Order issued and monetary penalty assessed.
Date of Order/Settlement: 2008-08-13 00:00:00 |
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08-10-2008 |
In the Matter of Peter E Miover |
Order Affirming Proposed Decision and Denying Licensure |
Final |
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08-10-2008 |
Miover Peter |
Pilot Mound IA
Allegation: Appealing Proposed Decision Denying Licensure
Resolution: Order Affirming Proposed Decision and Denying Licensure
Date of Order/Settlement: 2008-08-11 00:00:00 |
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08-06-2008 |
In the Matter of Whirlpool Corporation |
Order and Consent to Order |
Final |
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08-04-2008 |
Barns Drew |
Bloomington MN
Allegation: Used fraudulent coercive or dishonest practices or demonstrated incompetence untrustworthiness or financial irresponsibility in the conduct of business.
Resolution: Consent Order issued and insurance producer license revoked.
Date of Order/Settlement: 2008-08-05 00:00:00 |
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08-03-2008 |
In the Matter of Drew Barns |
Order and Consent to Order |
Final |