Insurers
Settlement Agreement & Consent Order
Allianz Life Insurance Company of North America:
Docket No. 2012-136 AD & Exhibit H; Order Effective August 16, 2012.
The Regulatory Settlement Agreement and Consent Order arose from the Multi-State Market Conduct Review of respondent’s fixed annuity products for the period of January 1, 2001 through December 31, 2008. See link to docket above for further information.
Cease and Desist Order
None
Suspension
Transport Insurance Company: E-Case #3001; Order effective January 26, 2012.
Violation: 31A-14-217 – Grounds exist for delinquency proceeding under Chapter 27 of Utah Insurance Code if Respondent were a domestic insurer.
Limitations: COA Suspended
Probation
None
Revocation
Investors Assurance Company: E-Case #3107; Order effective February 28, 2012.
Violation: 31A-37-202 – Failing to pay renewal fee when due.
Limitations: License revoked
Forfeiture
Life of America Insurance Company: E-Case #3228; Order effective October 18, 2012.
Violation: 31A-2-202(4) – Failed to submit a timely response to an inquiry from the Commissioner.
Forfeiture: $750
Utah Business Insurance Company: E-Case #3360; Order effective August 25, 2012.
Violation: 31A-2-202(4) – Failed to submit a timely response to an inquiry from the Commissioner.
Forfeiture: $ 3,000
American National Insurance Company: E-Case #3138; Order effective July 17, 2012.
Violation: 31A-29-117 – Failure to file its Actuarial Certification Report via SERFF on or before April 1, 2011.
Forfeiture: $3,000
World Insurance Company: E-Case #3122; Order effective May 7, 2012.
Violation: 31A-29-117 – Failure to file its Actuarial Certification Report via SERFF on or before April 1, 2011.
Forfeiture: $4,500
EZ Auto Insurance Company: E-Case #3226; Order effective October 16, 2012.
Violations: 31A-23a-115(1)(b) & R590-244-9, – Did not maintain current agency appointments; 31A-23a-103(1)(c) – Utilized the services of an unlicensed Managing General Agent; 31A-5-407(3) – Had a majority of its Board of Directors as inside directors; and 31A-26-201(1)(b) – Utilized the services of an unlicensed claims adjuster.
Forfeiture: $5,500
United Insurance Company: E-Case #3189; Order effective October 16, 2012.
Violations: 31A-23a-115(1)(b)& R590-244-9 – Did not maintain current agency appointments; 31A-23a-103(1)(c) – Utilized the services of an unlicensed Managing General Agent; 31A-5-407(3) – The majority of its Board of Directors are inside directors; and 31A-26-201(1)(b) – Utilized the services of an unlicensed claims adjuster.
Forfeiture: $5,500
Bartlett Title Insurance Agency, Inc.: E-Case #3193; Order effective August 14, 2012.
Violations: 31A-23a-103 – requirements of license; and 31A-23a-408 – Representations of agency. Respondent failed to renew agency license and conducted title and escrow services during the time license lapsed. Conducted title and escrow services without an active company/underwriter appointment.
Forfeiture: $3,000
Standard Life Insurance Company: E-Case #3140; Order effective July 17, 2012.
Violation: 31A-29-117 – Failure to file its Actuarial Certification Report via SERFF on or before April 1, 2012.
Forfeiture: $3,000
American National Life Insurance of Texas: E-Case #3139; Order effective July 17, 2012.
Violation: 31A-29-117 – Failure to file its Actuarial Certification Report via SERFF on or before April 1, 2012.
Forfeiture: $3,000
American General Life Insurance Company of Delaware: E-Case #3202; Order effective August 14, 2012.
Violations: R590-148-25 – Respondent failed to electronically file its Long-Term Care Report on or before June 30, 2012.
Forfeiture: $4,500
Farmers New World Life Insurance Company: E-Case #3203; Order effective August 14, 2012.
Violations: R590-148-25 – Respondent failed to electronically file its Long Term Care Report on or before June 30, 2012.
Forfeiture: $1,500
Regence Blue Cross BlueShield of Utah: E-Case #3190; Order effective August 14, 2012.
Violation: 31A-23a-115: Accepted insurance business from an agent that had not been contracted with or appointed.
Forfeiture: $1,500
Lifemap Assurance Company: E-Case #3191; Order effective August 14, 2012.
Violation: 31A-23a-115: Accepted insurance business from an agent that had not been contracted with or appointed.
Forfeiture: $1,500
New York Life Insurance Company: E-Case #3197; Order effective August 7, 2012.
Violations: R590-148-25 – Respondent failed to electronically file its Replacement and Lapse Report, its Claims Denial Report, its Rescission Report, and its Suitability Report on or before June 30, 2012.
Forfeiture: $3,000
Washington National Insurance Company: E-Case #3196; Order effective August 1, 2012.
Violations: R590-146-14 B; Failed to electronically file its Refund Calculation and Benchmark Ratio on or before May 31, 2012. R590-146-22 C; Failed to electronically file its Report of Multiple Policies on or before May 31, 2012.
Forfeiture: $3,000
National Western Life Insurance Company: E-Case #3114; Order effective May 22, 2012
Violations: 31A-21-201(1)(a); Issuing annuities to a resident of the State of Utah when the annuity forms had not been filed for use in the State of Utah.
31A-22-409; Issuing annuities to a resident of the State of Utah that did not comply with the provisions of the Utah Standard Nonforfeiture Law for Individual Deferred Annuities.
Forfeiture: $1,500
Mid-West National Life Insurance Company of Tennessee: E-Case #3121; Order effective May 31, 2012.
Violation: 31A-29-117 – Failure to file its Actuarial Certification Report via SERFF on or before April 1, 2012.
Forfeiture: $3,000
Diversified Insurance Group: E-Case #3164; Order effective June 21, 2012.
Violation: 31A-23a-103(1)(a) – Respondent advertised services as a consultant agency without a valid license.
Forfeiture: $1,500
Farmers Insurance Exchange: E-Case #2830; Order effective February 21, 2012.
Violations: 31A-23a-115 and Rule R590-244-5 – Accepted insurance business from an agent that had not been contracted with or appointed; 31A-31-110 – Failed to report fraudulent insurance acts of an agent.
Forfeiture: $15,000
Surrender
Excalibur Reinsurance Corporation: E-Case #3224; Order effective October 18, 2012.
31A-14-216 – Company has met all requirements to be released from regulation.
Limitations: Certificate of Authority surrendered
Great Republic Life Insurance: E-Case #3127; Order effective June 7, 2012.
31A-14-216, Company has met all requirements to be released from regulation.
Limitations: License surrendered
Individual & Agency Licensees
Cease and Desist Order
None
Revocations
Utah Standard Title: E-Case #2564; Order effective November 19, 2012.
Violation: 63G-4-209 – Respondent failed to appear to a scheduled hearing either through an officer or through counsel. The Title Insurance Agency License is to be revoked forthwith.
Respondent is ordered to immediately cease doing any insurance business in the State of Utah.
License Limitation: Revocation
Melinda Flores: E-Case #3169; Order effective October 29, 2012.
Violations: 31A-23a-105 – Failed to report an administrative action taken by another state; 31A-23a-111(5)(b)(i) – Failed to timely respond to an inquiry of the commissioner.
License Limitation: Revocation
Leah Pierce: E-Case #3070; Order effective July 26, 2012.
Violation: 63G-4-209 – Failing to appear at a scheduled hearing held for failing to respond to other requests by the Department.
License Limitation: Revocation.
Marissa R. Bankston: E-Case #2948; Order effective July 26, 2012
Violation: 63G-4-209 – Failing to appear at a scheduled hearing held for failing to respond to other requests by the Department.
License Limitations: Revocation
Jamie Moore: E-Case #2947; Order effective August 9, 2012.
Violation: 63G-4-209 – Failing to appear at a scheduled hearing held for failing to respond to other requests by the Department.
License Limitations: Revocation
April Marie Wilson: E-Case #3049; Order effective August 9, 2012.
Violation: 63G-4-209 – Failing to appear at a scheduled hearing held for failing to respond to other requests by the Department.
License Limitation: Revocation
Jeffrey Matthei: E-Case #3102; Order effective August 9, 2012.
Violation: 63G-4-209 – Failing to appear at a scheduled hearing held for failing to respond to other requests by the Department.
License Limitation: Revocation
Kimberly Ann Smallwood: E-Case #2851; Order effective August 9, 2012.
Violation: 63G-4-209 – Failing to appear at a scheduled hearing held for failing to respond to other requests by the Department.
License Limitation: Revocation
Donald Kirk Nacey: E-Case #3095; Order effective July 17, 2012.
Violation: 63G-4-209 – Failing to appear at a scheduled hearing held for failing to respond to other requests by the Department.
License Limitation: Revocation
Gregory Keith Young: E-Case #3126; Order effective July 17, 2012.
Violation: 63G-4-209 – Failing to appear at a scheduled hearing and failing to respond to other requests by the Department.
License Limitation: Revocation
Mark Patrick Santos: E-Case #3120; Order effective June 11, 2012.
Violation: 63G-4-209 – Failing to appear to a scheduled hearing for failing to respond to other requests by the Department.
License Limitation: Revocation
Richard E. Haskell: E-Case #3105; Order effective June 5, 2012.
Violations: 31A-23a-111(5)(b)(i) – is unqualified for a license.
31A-23a-111(5)(b)(xvi) – in the conduct of business uses dishonest practices or demonstrates untrustworthiness.
31A-23a-111(5)(b)(xxiv) – engages in a method or practice in the conduct of business that endangers the legitimate interests of customers and the public.
License Limitation: Revocation
Daniel Alfonso Blanco: E-Case #3101; Order effective April 10, 2012.
Violations: 31A-23a-107 – Respondent does not meet the character requirements;
31A-23a-111 – Respondent convicted of a felony.
License Limitation: Revocation
Brian C. Butters: E-Case #3024; Order effective April 9,2012.
Violation: 31A-2-202(4) – Respondent failed to respond to an inquiry from the Commissioner. Default and Default Order; respondent shall immediately cease doing any insurance business in the State of Utah. License Limitation: License Revoked
Jerad Matthew Martin: E-Case #2929; Order effective 01-24-2012.
Violation: 31A-2-202(4) – Failed to respond to an inquiry from the Commissioner.
License Limitation: Revocation
Karen Jeanne Young: E-Case #2969; Order effective March 7, 2012.
Violations: 31A-23a-105(2)(b)(ii) – Respondent failed to notify the Department of administrative actions from other States within 30 days; 31A-2-202 – Respondent failed to respond to an inquiry of the commissioner and failed to obey an order of the commissioner.
License Limitation: Revocation
Bret Taylor Van Leeuwen: E-Case #3077; Order effective: February 23, 2012.
Violation: 63G-4-209 – Respondent failed to appear at a scheduled hearing for failure to report felony conviction of insurance fraud.
License Limitation: Revocation
Satya Brata Shaw: E-Case #2832; Order effective January 24, 2012.
Violations: 31A-2-202(4) – Respondent failed to respond to an inquiry from the Commissioner. Default and Default Order; respondent shall immediately cease doing any insurance business in the State of Utah. License Limitations: Revocation
Real Bail Bonds, Pablo A. Alcalde: E-Case #2808; Order Effective January 13, 2012
Violations: 31A-23a-103(1)(a)(c) and 31A-35-401, issuing bail bonds during time licensed was lapsed. 31A-23a-205(2), 31A-23a-408, and 31A-35-404(3), use of forms and Power of Attorney without a contract. 31A-23a-402(1)(a)(i), providing false and misleading information.
31A-31-103(1)(a)(d), committed acts of insurance fraud.
31A-23a-409 and 31A-35-603, failed to establish and maintain a trust account, commingled collateral trust funds with personal funds, converted trust monies for personal use and failed to properly secure collateral monies in the bail bond producer’s fiduciary capacity.
R590-186-7(2)(6)(7)(8)(19)(21)(23). Unprofessional Conduct
Limitations: Revocation (All Lines of Authority)
Michelle Eileen Losee: E-Case #2847; Order effective January 26, 2012.
Violations: 31A-2-202(4) – Failed to properly respond to an inquiry from the commissioner.
License Limitations: Revocation
Stephanie L. Moreno: E-Case #2931; Order effective January 26, 2012.
Violations: 31A-2-202(4) – Failed to properly respond to an inquiry from the commissioner.
License Limitations: License revoked
Jerad Matthew Martin: E-Case #2929; Order effective January 26, 2012.
Violations: 31A-2-202(4) – Failed to properly respond to an inquiry from the commissioner.
License Limitations: Revocation
Nickolas S Ferriss: E-Case #2827; Order effective January 26, 2012.
Violations: 31A-2-202(4) – Failed to properly respond to an inquiry from the commissioner.
License Limitations: Revocation
Suspension
None
Probation
Peter Edward Morse: E-Case #3182; Order effective: October 18, 2012
Violation: R590-230-5(1) and (2) – Respondent recommended a partial surrender of existing annuities for reinvestment without doing a 1035 exchange, which resulted in a taxable event for the annuitants.
Mitigation of Responsibility: R590-230-6(1)(b) – The commissioner may order an insurance producer to take reasonably appropriate corrective action for any consumer harmed by the producer’s violation of R590-230.
Forfeiture: $8,072.41, with $6,072.41 suspended pending the payment of that amount to the annuitants as reimbursement for the taxes they incurred as a direct result of the actions of the Respondent.
License Limitations: 24 Months Probation
A-Affordable Bail Bonds, Jody Gutierres: E-Case #3087: Order effective September 5, 2012.
Violations: 31A-35-603(2) – Failed to secure collateral security;
31A-23a-409(1)(b)(ii) – Failed to have a trust account ledger to account for trust funds;
31A-23a-409(1)(d) – Failed to reconcile trust account on a monthly basis;
31A-23a-409(1)(d)(i) – Failed to deposit funds held in trust into a trust account by the close of the next business day.
31A-23a-103(1)(a) & (c) &, 31A-23a-110(2) – Used names in the conduct of business that were not licensed or registered with the commissioner as an assumed name
Forfeiture: $10,000
License Limitation: 24 month probation
Massey’s Bail Bonds / Joshua Keenan Massey: E-Case #3176; Order Effective September 5, 2012.
Violations: 31-A-35-603, 31A-23a-409, R590-170-5 and R590-170-7 – Failed to establish and maintain a trust account and commingling trust monies with personal and business monies;
R590-196-6 – Use of unapproved disclosure forms.
Forfeiture: $5,500 with $250 stayed
License Limitation: 24 month probation
Brad Bohling: E-Case #3154: Order effective September 5, 2012
Violation: 31A-23a-103(1)(a) – Respondent sold pre-need funeral insurance plans without being licensed.
Forfeiture: $1,000
License Limitations: 12 Months Probation
Connie Freestone: E-Case #2953; Order effective May 30, 2012.
Violations: 31A-23a-103(1), 31A-35-401(1) and 31A-35-402(2) – Issued bail bonds without an active license and without an agency appointment. R590-186-6(2)(3) Unprofessional conduct.
Forfeiture: $5,500, stay $1,900 pending successful probation.
License Limitation: 24 month probation
Michael Freestone: E-Case #2954; Order effective May 30, 2012.
Violations: 31A-23a-103(1), 31A-35-401(1) and 31A-35-402(2) – Issued bail bonds without an active license and without an agency appointment. R590-186-6(2)(3) Unprofessional conduct.
Forfeiture: $500, stay $100 pending successful probation.
License Limitation: 24 month probation
Amerimex Insurance of Utah & Jerry Lucious Pacheco: E-Case #3075; Order effective May 22, 2012
Violations: 31A-23a-409, R590-170-4, – Failed to deposit premium payments into the agency’s trust account. 31A-23a-402 (1)(a)(i), – Provided false and misleading information.
Forfeiture: $1,000
License Limitation: 12 month probation
Bail Out Fast & Melinda Starley: E-Case #3125; Order effective June 12, 2012
Violations: 31A-23a-490 – Failed to establish a trust account. 31A-35-607, R590-196-6 – Used a form that was not filed with the department.
Forfeiture: $3,000, stay $1,250 pending successful probation.
License Limitation: 12 month probation
Statewide Bail Bonding & Tyron Webber: E-Case #2921; Order effective; December 19, 2012.
Violations: 31-A-35-603, 31A-23a-409, R590-170-4 and R590-170-5 – Failed to retain all collateral funds in a trust account and commingled trust monies with business monies.
R590-170-7 – Failed to maintain accounting records in a manner that facilitates an audit.
31A-23a-103(1)(c), 31A-35-402(3) – Used unlicensed bail bond agent to issue bail.
31A-23a-205(2), 31A-23a-302(1) – Acted as a bail bond producer without being appointed.
R509-196-6 – Failed to update forms.
Forfeiture: $5,500
License Limitation: 24 month probation
Rebel Bail Bonds and Darren R. Brady: E-Case #2955 & #3060; Order effective May 31, 2012
Violations: 31A-23a-103(1)(c), 31A-35-402(3), R509-186-6(1) and R590-186-7(13)&(14) – Used unlicensed bail bond agents to issue bail.
31-A-35-603, 31A-23a-409, R590-170-4 and R590-170-5 – Failed to establish and maintain a trust account.
Forfeiture: $12,500
License Limitation: 12 month probation
American Preferred Title Insurance Agency: E-Case #3116; Order effective June 21, 2012.
Violations: 31A-23a-103; Failure requirements of license:
31A-23a-302; Representations of agency;
31A-23a-415; Assessment on title insurance agencies or title insurers;
31A-19a-209; Special provisions for title insurance; and
R590-154-7; Sale, Solicitation, or Negotiation of Insurance. Respondent utilized an unapproved name to conduct Insurance business. Respondent failed to file escrow rates. Respondent conducted title escrow services while unlicensed/un-associated producer.
Forfeiture: $15,000
License Limitation: 24 Months Probation
A-1 Bail Bonds & Terry L. Smith: E-Case #3048; Order effective March 1, 2012.
Violation: 31A-23a-409, 31A-35-603(2)(a-b), R590-170(4-5) – Failed to establish and maintain a trust account.
Forfeiture: $5,000, with $2,500 stayed pending successful completion of probation.
License Limitation: 24 month probation
Forest Street Bail Bonds & S. Annette Jones: E-Case #3076; Order effective March 14, 2012.
Violations: 31-A-35-603, 31A-23a-409, R590-170-4 and R590-170-5 – Failed to establish and maintain a trust account and commingling trust monies with personal and business monies.
Forfeiture: $5,000
License Limitation: 24 month probation
All Area Bail Bonds, Doug Pehrson: E-Case #3046; Order effective February 6, 2012.
Violation: 31A-23a-409, R590-170-7 – Failed to establish and maintain a trust account.
Forfeiture: $5,000 with $4,000 stayed
License Limitation: 24 month probation
Matthew Nelson David: E-Case #3074; Order effective January 24, 2012.
Violations: 31A-23a-105(2) – Respondent submitted false information on his license application by stating that he had not been convicted of a crime, when he had.
31A-23a-107(2) – Respondent provided false information on his license application, which brings into question his qualification to hold an insurance agent’s license.
Forfeiture: $500
License Limitations: 24 Months’ probation and supervision by Douglas Stanley of United Title Services of Southern Utah
Bailes Inc. & James R. Hobson Jr.: E-Case #3097; Order effective, May 31, 2012.
Violations: 31A-23a-402(1)(a)(i) – Any of the following may not make or cause to be made any communication that contains false or misleading information, relating to an insurance product or contract, any insurer, or any licensee under this title, including information that is false or misleading because it is incomplete.
31A-23a-103(1)(a) – Unless exempted from the licensing requirement under Section; 31A-23a-104 or 31A-23a-207) – A person may not perform, offer to perform, or advertise any service as a producer, limited line producer, customer service representative, consultant, managing general agent, or reinsurance intermediary in Utah, without a valid individual or agency license issued under this chapter.
Forfeiture: $3500
License Limitation: 12 months Probation
Kristine Ellen Mace: E-Case #3055; Order effective January 4, 2012.
Violation: 31A-23a-105(2) – Respondent submitted false information on her license application by stating that she had not been convicted of a crime, when she had.
31A-23a-107(2) – Respondent provided false information on her license application, which brings into question her qualification to hold an insurance agent’s license.
Forfeiture: $500
License Limitations: 12 Month probation
Zachary Daniel Lovingier: E-Case #3083; Order effective March 7, 2012.
Violation: 31A-23a-402 – Respondent provided false or misleading information on an annuity application submitted to an Insurer. R590-230-5 – Respondent provided inaccurate financial information on a Product Suitability Form submitted to an Insurer, resulting in an unsuitable annuity recommendation that financially harmed the consumer
Forfeiture: $2,000
License Limitations: 12 Month probation
Timothy Grover Mace: E-Case #3054; Order effective January 4, 2012.
Violation: 31A-23a-105(2) – Respondent submitted false information on his license application by stating that he had not been convicted of a crime, when he had.
31A-23a-107(2) – Respondent provided false information on his license application, which brings into question his qualification to hold an insurance agent’s license.
Forfeiture: $500
License Limitations: 12 Month probation
David Alma Brown: E-Case #3069; Order effective April 11, 2012.
Violations: 31A-23a-301, Requires and insurance organization to be licensed as an agency if the organization acts as a producer, limited line producer, a consultant, a managing general agency or a reinsurance intermediary.
31A-23a-302;Requires an agency to designate an individual that has a producer, limited line producer, customer service representative, consultant, managing general agent, or reinsurance intermediary license to act on the agency’s behalf in order for the licensee to do business for the agency in this state.
31A-23a-103(c) – States that a person may not utilize the services of another as a producer, limited line producer, customer service representative, consultant, managing general agent or reinsurance intermediary if that person knows that the other does not have a license as required by law.
Forfeiture: $7,000
License Limitation: 12 month probation
Amy M. Owens: E-Case #3096; Order effective April 10, 2012.
Violation: 31A-23a-409, R590-170-5(1), R590-170-7(1) – Failed to properly maintain a trust account, failed to reconcile trust account at least monthly.
Forfeiture: $2,500
License Limitation: 12 month probation
Fortified Benefits, LLC dba Utah Senior Planning: E-Case #3080; Order effective April 5, 2012.
Violations: 31A-23a-301 – Respondent failed to license his agency as a consultant agency. 31A-23a-302(1) – An agency shall designate an individual producer, limited line producer, customer service representative, consultant, managing general agent, etc.
Forfeiture: $2000
License Limitation: 12 months probation
Michael L. Child: E-Case #3100; Order effective: March 7, 2012.
Violation: 31A-23a-402 – Respondent provided false or misleading information on an annuity application submitted to an Insurer; R590-230-5 – Respondent provided inaccurate financial information on a Product Suitability Form submitted to an insurer, resulting in an unsuitability annuity recommendation that financially harmed the consumer.
Forfeiture: $15,381, with $14,381 stayed upon reimbursement to consumer for surrender charges incurred.
License Limitations: 12 Month Probation
Kari M. Holding: E-Case #2812; Order effective February 13, 2012.
Violations: 31A-23a-107 – Character Requirements; 31A-23a-402 Providing false or misleading information involving title insurance; 57-3-106 – Document Recording Requirements
Forfeiture: $2,000
License Limitation: 12 Months Probation; 6 hours of additional continuing education
Cornerstone Title Insurance: E-Case #2813; Order effective February 13, 2012.
Violations: 31A-23a-107 – Character Requirements; 31A-23a-302(7)(b) – Agency responsibility for the acts of its licensees; 31A-23a-402 Providing false or misleading information involving title insurance; 57-3-106 – Document Recording Requirements
Forfeiture: $1,000
License Limitation: 12 Months Probation; Provide education to licensees regarding powers of attorney, claims issues, escrow red flags, and related topics as approved by the Department.
Denise Norberg: E-Case #3041; Order effective February 14, 2012.
Violation: 31A-23a-103 – Acted in the capacity of an insurance customer service representative without being licensed by the Department.
Forfeiture: $1,500
License Limitation: 12 months probation
Liberty Bail Bonds and Clinton McQueen: E-Case #3047; Order Effective February 14, 2012.
Violation: R590-170(5)(7), Failed to reconcile the Trust Account.
Forfeiture: $1,000
License Limitation: 12 month probation
Dentist Direct LLC: E-Case #3034; Order effective January 4, 2012.
Violation: 31A-26-301.6(3)(a) – Failed to pay or deny claims within 30 days of receipt. 31A-23a-103 – Utilized 3 un-licensed Customer Service Representatives.
Forfeiture: $14,000
Probation: 12 months
Forfeiture
Richland Title Insurance Agency, INC.: E-Case #3143; Order effective June 21, 2012.
Violations: 31A-23a-103; requirements of license and 31A-23a-408; Representations of agency. Respondent failed to renew agency license and conducted title and escrow services during the time license lapsed. Conducted title and escrow services without an active company/underwriter appointment.
Forfeiture: $1,500
Horacio Alonso Pardofigueroa: E-Case #3094; Order effective April 30, 2012.
Violation: 31A-23a-504 – Respondent paid a non-licensed producer to assist him in selling insurance.
Forfeiture: $2,600
York Risk Services Group, Inc: E-Case #3230; Order effective October 18, 2012.
Violation: 31A-2-202(4) Failure to respond to an inquiry from the commissioner
Forfeiture: $250
Julia Blank: E-Case #3192; Order effective October 3, 2012.
Violation: 31A-2-202(4) – Failed to submit a timely response to an inquiry from the Commissioner. 31A-23a-105 – Failure to disclose another state’s administrative action.
Forfeiture: $500
Bonneville Superior Title Company, Inc.: E-Case #3223; Order effective November 6, 2012.
Violations: 31A-23a-103, requirements of licensure; and 31A-23a-408, Representation of agency.
Respondent failed to renew agency license and conducted title and escrow services during the time license was lapsed. Conducted title and escrow services without an active company/underwriter appointment.
Forfeiture: $1,500
Senior Benefits Insurance Services: E-Case #3218; Order effective October 23, 2012.
Violations: 31A – 23a-302, – Failed to have a producer designated.
Forfeiture: $500
A-Affordable Bail Bonds, Jody Gutierres: E-Case #3087: Order effective September 5, 2012.
Violations: 31A-35-603(2) – Failed to secure collateral security;
31A-23a-409(1)(b)(ii) – Failed to have a trust account ledger to account for trust funds;
31A-23a-409(1)(d) – Failed to reconcile trust account on a monthly basis;
31A-23a-409(1)(d)(i) – Failed to deposit funds held in trust into a trust account by the close of the next business day.
31A-23a-103(1)(a) & (c) &, 31A-23a-110(2) – Used names in the conduct of business that were not licensed or registered with the commissioner as an assumed name
Forfeiture: $10,000
License Limitation: 24 month probation.
Massey’s Bail Bonds / Joshua Keenan Massey: E-Case #3176; Order Effective September 5, 2012.
Violations: 31-A-35-603, 31A-23a-409, R590-170-5 and R590-170-7 – Failed to establish and maintain a trust account and commingling trust monies with personal and business monies;
R590-196-6 – Use of unapproved disclosure forms.
License Limitation: 24 month probation
Forfeiture: $5,500 with $250 stayed
Brad Bohling: E-Case #3154: Order effective September 5, 2012
Violation: 31A-23a-103(1)(a) – Respondent sold pre-need funeral insurance plans without being licensed.
License Limitations: 12 Months Probation
Forfeiture: $1,000
First American Title Insurance Agency, LLC: E-Case #3180; Order effective August 20, 2012.
Violations: 31A-23a-103 – Requirements of license; 31A-23a-302 – Agency Designations. Respondent allowed an unassociated producer with lapsed license to conduct escrow services on behalf of agency.
Forfeiture: $3,000
Brent Waine Thompson: E-Case #3167; Order effective 08/07/2012.
Violation: 31A-23a-105(2) – Failure to report criminal convictions on the Utah insurance licensing application.
Forfeiture: $500
Cedar Post/Jail Busters Bail Bonds & Adam Rogers: E-Case #3141; Order effective May 29, 2012.
Violations: 31A-23a-409 – Failed to establish a trust account to hold funds in a fiduciary capacity.
31A-35-607 – Used a form that had not been filed with the Department
Forfeiture: $2,750
Nevada Pacific Insurance Services Inc.: E-Case #3208; Order effective October 16, 2012.
Violation: 31A-23a-105 – Failed to report an administrative action taken by another state.
Forfeiture: $500
JBL Trinity Group, LTD: E-Case #3211 Order effective August 20, 2012.
Violation: 31A-2-202(4) – Failed to submit a timely response to an inquiry from the Commissioner.
Forfeiture: $500
Wendy Susan Hamilton: E-Case #3171; Order effective July 19, 2012.
Violations: 31A-23a-105(2) – Respondent failed to notify the Department within 30 days of administrative actions from other states.
Forfeiture: $250
Access Title Company Inc.: E-Case #3195; Order effective August 27, 2012.
Violations: 31A-23a-103 – Requirements of license and representation of agency – 31A-23a-408.. Respondent failed to renew agency license and conducted title and escrow services during the time license lapsed. Conducted title and escrow services without an active company/underwriter appointment.
Forfeiture: $1,500
First American Title Insurance Company: E-Case #3132; Order effective August 2, 2012.
Violations: 31A-41-202 – Respondent failed to pay an assessment when due.
31A-2-202(4) – Respondent failed to submit a timely response to an inquiry of the Commissioner.
Forfeiture: $1,500
Artisan Title Insurance Agency: E-Case #3129; Order effective August 2, 2012.
Violations: 31A-41-202 – Respondent failed to pay an assessment when due.
31A-2-202(4) – Respondent failed to submit a timely response to an inquiry of the Commissioner.
Forfeiture: $1,500
American Secure Title Insurance Agency: E-Case #3128; Order effective August 2, 2012.
Violations: 31A-41-202 – Respondent failed to pay an assessment when due.
31A-2-202(4) – Respondent failed to submit a timely response to an inquiry of the Commissioner.
Forfeiture: $1,500
Sentinel Security Insurance Plans, a DBA of Sentinel Security Insurance Plans, Inc.: E-Case #3173; Order effective: August 27, 2012
Violations: 31A-23a-103(1)(c) and 31A-23a-408 – Utilizing the services of an unlicensed individual as a producer, knowing he was not licensed as required by Utah law.
31A-23a-504 – Paying commissions or bonuses to an unlicensed individual, knowing that the person was not licensed as required by law.
Forfeiture: $4,000
Wasatch Lawn Mortuary: E-Case #3165; Order effective: August 27, 2012
Violations: 31A-2-202(6); 31A-23a-104(5)(b)(i); 31A-23a-110(2) and Rule R590-244-11(3)(c) – By not filing a change of name when the DBA of Wasatch Land and Improvement Company was changed, and by not notifying the Department that Wasatch Lawn Mortuary was actually a DBA of Wasatch Land and Improvement Company.
31A-23a-103(1)(c) – Utilizing the services of an unlicensed insurance producer.
31A-23a-402(1)(a)(i) – Allowing its licensed agent to sign applications for policies sold by an unlicensed agent and submitting those applications to an Insurer.
31A-23a-302 – Not designating on its license those insurance agents acting on its behalf.
31A-23a-408 – Marketing insurance when it had not been appointed by its underwriters to do so.
Forfeiture: $3,000
Kevin Eric Nelson: E-Case #3188; Order effective August 9, 2012.
Violation: 31A-23a-105 – Respondent failed to timely report the criminal prosecution taken against him.
Forfeiture: $500.
Buie Insurance Services LLC: E-Case #3072; Order effective July 17, 2012.
Violation: 31A-23a-103(1)(c) – Respondent utilized the services of an un-licensed customer service representative.
Forfeiture: $3000
Connie Freestone: E-Case #2953; Order effective May 30, 2012.
Violations: 31A-23a-103(1), 31A-35-401(1) and 31A-35-402(2) – Issued bail bonds without an active license and without an agency appointment. R590-186-6(2)(3) Unprofessional conduct.
License Limitation: 24 month probation
Forfeiture: $5,500, stay $1,900 pending successful probation.
Michael Freestone: E-Case #2954; Order effective May 30, 2012.
Violations: 31A-23a-103(1), 31A-35-401(1) and 31A-35-402(2) – Issued bail bonds without an active license and without an agency appointment. R590-186-6(2)(3) Unprofessional conduct.
License Limitation: 24 month probation
Forfeiture: $500, stay $100 pending successful probation.
US Healthcard LLC dba Qualified Health: E-Case #3177; Order effective July 17, 2012.
Violation: 31A-8a-201 – Operated a Health Discount Program without a valid license.
Forfeiture: $1,500 forfeiture
Amerimex Insurance of Utah & Jerry Lucious Pacheco: E-Case #3075; Order effective May 22, 2012
Violations: 31A-23a-409, R590-170-4, Failed to deposit premium payments into the agency’s trust account. 31A-23a-402 (1)(a)(i), Provided false and misleading information.
License Limitation: 12 month probation
Forfeiture: $1,000
Bail Out Fast & Melinda Starley: E-Case #3125; Order effective June 12, 2012
Violations: 31A-23a-490, Failed to establish a trust account. 31A-35-607, R590-196-6, Used a form that was not filed with the department.
License Limitation: 12 month probation
Forfeiture: $3,000, stay $1,250 pending successful probation.
Statewide Bail Bonding & Tyron Webber: E-Case #2921; Order effective; December 19, 2012.
Violations: 31-A-35-603, 31A-23a-409, R590-170-4 and R590-170-5 – Failed to retain all collateral funds in a trust account and commingled trust monies with business monies.
R590-170-7 – Failed to maintain accounting records in a manner that facilitates an audit.
31A-23a-103(1)(c), 31A-35-402(3) – Used unlicensed bail bond agent to issue bail.
31A-23a-205(2), 31A-23a-302(1) – Acted as a bail bond producer without being appointed.
R509-196-6 – Failed to update forms.
License Limitation: 24 month probation
Forfeiture: $5,500
Dental Select Benefits Group: E-Case #3184; Order effective July 20, 2012.
Violation: 31A-2-202(4) – Respondent failed to submit a timely response to an inquiry from the Commissioner.
Forfeiture: $500
Bergundy Bischoff: E-Case #3118; Order effective May 22, 2012.
Violation: 31A-23a-103 – Requirements of license; Respondent failed to renew individual license and conducted title and escrow services during the time license lapsed.
Forfeiture: $1,500
Rebel Bail Bonds and Darren R. Brady: E-Case #2955 & #3060; Order effective May 31, 2012
Violations: 31A-23a-103(1)(c), 31A-35-402(3), R509-186-6(1) and R590-186-7(13)&(14) – Used unlicensed bail bond agents to issue bail.
31-A-35-603, 31A-23a-409, R590-170-4 and R590-170-5 – Failed to establish and maintain a trust account.
License Limitation: 12 month probation
Forfeiture: $12,500
Pioneer Bail Bonds & Anthony Skaats: E-Case #3142; Order effective July 20, 2012.
Violations: 31A-35-607 (2), R590-196-6, Using a form that had not been filed with the Department.
Forfeiture: $500, with $250 stayed pending no further violations of form filing requirements within 12 months from the date of the Order.
Utah First Title Insurance Agency, Inc.: E-Case #3119; Order effective May 22, 2012.
Violations: 31A-23a-103 – Requirements of license; 31A-23a-302 – Agency Designations. Respondent allowed an unassociated producer with lapsed license to conduct escrow services on behalf of agency during the time license lapsed.
Forfeiture: $1,500
Dental Select Benefits Group: E-Case #3158; Order effective May 15, 2012.
Violation: 31A-2-202(4); Respondent failed to submit a timely response to an inquiry from the Commissioner.
Forfeiture: $250
Forest Street Bail Bonds & S. Annette Jones: E-Case #3076; Order effective March 14, 2012.
Violations: 31-A-35-603, 31A-23a-409, R590-170-4 and R590-170-5; Failed to establish and maintain a trust account and commingling trust monies with personal and business monies.
License Limitation: 24 month probation
Forfeiture: $5,000
Wells Fargo Advisors LLC: E-Case #3099; Order effective March 28, 2012.
Violation: 31A-23a-105) – Failure to report action taken from another regulatory agency.
Forfeiture: $750
Federal Financial Group LLC: E-Case #3117; Order effective May 22, 2012.
Violation: 31A-23a-103) – Utilizing the services of another as a producer.
Forfeiture: $3,000
Bailes Inc. & James R. Hobson Jr.: E-Case #3097; Order effective, May 31, 2012.
Violations: 31A-23a-402(1)(a)(i) – Any of the following may not make or cause to be made any communication that contains false or misleading information, relating to an insurance product or contract, any insurer, or any licensee under this title, including information that is false or misleading because it is incomplete.
31A-23a-103(1)(a) – Unless exempted from the licensing requirement under Section; 31A-23a-104 or 31A-23a-207) – A person may not perform, offer to perform, or advertise any service as a producer, limited line producer, customer service representative, consultant, managing general agent, or reinsurance intermediary in Utah, without a valid individual or agency license issued under this chapter.
License Limitation: 12 months Probation
Forfeiture: $3,500
Sorensen Insurance Agency: E-Case #3012; Order effective May 2, 2012.
Violation: 31A-23a-103(1)(c) – Respondent utilized the services of two unlicensed Customer Service Representatives.
License Limitation: None
Forfeiture: $750
Kim L. Harrington: E-Case #3013: Order effective May 2, 2012.
Violation: 31A-23a-103(1)(a) – Acted as a Consumer Service Representative without a license.
License Limitation: None
Forfeiture: $325
Gayle M. Stout: E-Case #3014: Order effective May 2, 2012.
Violation: 31A-23a-103(1)(a) – Acted as a Consumer Service Representative without a license.
License Limitation: None
Forfeiture: $325
Advance Insurance: E-Case #3103; Order effective March 29, 2012.
Violation: 31A-23a-501, Charging and collecting additional fees from insureds for services they had been paid a commission to perform.
Forfeiture: $13,000
Guy Bottom: E-Case #3053; Order effective April 17, 2012.
Violation: 31A-23a-402 – Advertising misleading to consumers.
Forfeiture: $2,500
Guarantee Trust Life Insurance Co.: E-Case #2828; Order effective April 17, 2012.
Violation: R590-220-9(2) – Respondent failed to file a Group Questionnaire for two purported association groups that would market membership and enroll insureds in the State of Utah.
Forfeiture: $5000
David Alma Brown: E-Case #3069; Order effective April 11, 2012.
Violations: 31A-23a-301 – Requires and insurance organization to be licensed as an agency if the organization acts as a producer, limited line producer, a consultant, a managing general agency or a reinsurance intermediary.
31A-23a-302 – Requires an agency to designate an individual that has a producer, limited line producer, customer service representative, consultant, managing general agent, or reinsurance intermediary license to act on the agency’s behalf in order for the licensee to do business for the agency in this state.
31A-23a-103(c) – States that a person may not utilize the services of another as a producer, limited line producer, customer service representative, consultant, managing general agent or reinsurance intermediary if that person knows that the other does not have a license as required by law.
License Limitation: 12 months probation
Forfeiture: $7,000
Ace Bail Bonds: E-Case #3067; Order effective April 11, 2012.
Violation: R590-170-4 – Failed to establish a trust account for funds held in trust.
Forfeiture: $1,000
Amy M. Owens: E-Case #3096; Order effective April 10, 2012.
Violation: 31A-23a-409, R590-170-5(1), R590-170-7(1) – Failed to properly maintain a trust account, failed to reconcile trust account at least monthly.
License Limitation: 12 months probation
Forfeiture: $2,500
Fortified Benefits, LLC dba Utah Senior Planning: E-Case #3080; Order effective April 5, 2012.
Violations: 31A-23a-301 – Respondent failed to license his agency as a consultant agency. 31A-23a-302(1) – An agency shall designate an individual producer, limited line producer, customer service representative, consultant, managing general agent, etc.
License Limitation: 12 months probation
Forfeiture: $2,000
A-1 Bail Bonds & Terry L. Smith: E-Case #3048; Order effective March 1, 2012.
Violation: 31A-23a-409, 31A-35-603(2)(a-b), R590-170(4-5) – Failed to establish and maintain a trust account.
License Limitation: 24 month probation
Forfeiture: $5,000, with $2,500 stayed pending successful completion of probation.
All Area Bail Bonds, Doug Pehrson: E-Case #3046; Order effective February 6, 2012.
Violation: 31A-23a-409, R590-170-7 – Failed to establish and maintain a trust account.
License Limitation: 24 month probation
Forfeiture: $5,000 with $4,000 stayed
Matthew Nelson David: E-Case #3074; Order effective January 24, 2012.
Violations: 31A-23a-105(2) – Respondent submitted false information on his license application by stating that he had not been convicted of a crime, when he had.
31A-23a-107(2) – Respondent provided false information on his license application, which brings into question his qualification to hold an insurance agent’s license.
License Limitations: 24 Months probation and supervision by Douglas Stanley of United Title Services of Southern Utah
Forfeiture: $500
Liberty Insurance: E-Case #3078; Order effective February 14, 2012
Violation: 31A-23a-409, R590-170(4) and (5) – Failed to establish and maintain a trust account.
Forfeiture: $3,500
Kathleen Sanchez: E-Case #3078; Order effective February 14, 2012
Violation: 31A-23a-409, R590-170(4) and (5) – Failed to establish and maintain a trust account.
Forfeiture: $3,500
Kristine Ellen Mace: E-Case #3055; Order effective January 4, 2012.
Violation: 31A-23a-105(2) – Respondent submitted false information on his license application by stating that he had not been convicted of a crime, when he had.
31A-23a-107(2) – Respondent provided false information on his license application, which brings into question his qualification to hold an insurance agent’s license.
License Limitations: 12 Month probation
Forfeiture: $500
Zachary Daniel Lovingier: E-Case #3083; Order effective March 7, 2012.
Violation: 31A-23a-402 – Respondent provided false or misleading information on an annuity application submitted to an Insurer. R590-230-5 – Respondent provided inaccurate financial information on a Product Suitability Form submitted to an Insurer, resulting in an unsuitable annuity recommendation that financially harmed the consumer
License Limitations: 12 Month probation
Forfeiture: $2,000
Timothy Grover Mace: E-Case #3054; Order effective January 4, 2012
Violation: 31A-23a-105(2) – Respondent submitted false information on his license application by stating that he had not been convicted of a crime, when he had.
31A-23a-107(2) – Respondent provided false information on his license application, which brings into question his qualification to hold an insurance agent’s license.
License Limitations: 12 Months probation
Forfeiture: $500
David G. Bartholomew: E-Case #3091; Order effective 02-14-2012.
Violation: 31A-23a105(2) – Respondent failed to notify the Department of his initial appearance before a court within 30 days of that appearance.
Forfeiture: $250
Kettle Creek Insurance, LLC: E-Case #3082; Order effective 02-14-2012.
Violations: 31A-23a-105(2) and 31A-2-202(6) – Failed to report administrative action in another state at the time he applied for a Utah license.
Forfeiture: $250
Robert Friess Ebert: E-Case #3081; Order effective 02-14-2012.
Violations: 31A-23a-105(2) and 31A-2-202(6) – Failed to report administrative action in another state at the time he applied for a Utah license.
Forfeiture: $250
Petfirst Healthcare LLC: E-Case #3084; Order effective March 1, 2012.
Violations: 31A-23a-105 and Rule R590-244-7 – Failed to report an administrative action within 30 days of the final disposition and failing to properly submit & maintain a valid business email address.
Forfeiture: $800
Michael L. Child: E-Case #3100; Order effective:March 7, 2012.
Violation: 31A-23a-402 – Respondent provided false or misleading information on an annuity application submitted to an Insurer; R590-230-5 – Respondent provided inaccurate financial information on a Product Suitability Form submitted to an insurer, resulting in an unsuitability annuity recommendation that financially harmed the consumer.
License Limitations: 12 Month Probation
Forfeiture: $15,381, with $14,381 stayed upon reimbursement to consumer for surrender charges incurred.
Kari M. Holding: E-Case #2812; Order effective February 13, 2012.
Violations: 31A-23a-107 – Character Requirements; 31A-23a-402 Providing false or misleading information involving title insurance; 57-3-106 – Document Recording Requirements
License Limitation: 12 Months Probation; 6 hours of additional continuing education
Forfeiture: $2,000
Cornerstone Title Insurance: E-Case #2813; Order effective February 13, 2012.
Violations: 31A-23a-107 – Character Requirements; 31A-23a-302(7)(b) – Agency responsibility for the acts of its licensees; 31A-23a-402 Providing false or misleading information involving title insurance;
57-3-106 – Document Recording Requirements
License Limitation: 12 Months Probation; Provide education to licensees regarding powers of attorney, claims issues, escrow red flags, and related topics as approved by the Department.
Forfeiture: $1,000
HUB International Ins Services Inc.: E-Case #3079; Order effective February 23, 2012.
Violations: 31A-23a-103(1)(a) – Advertised services as a consultant agency without a valid license.
Forfeiture: $1,500
Leo Barton Allen: E-Case #3085; Order effective February 28, 2012
Violations: 31A-23a-105 & 31A-2-202 – by failing to report an administrative action within 30 days of the disposition and by failing to timely respond to inquiries from the office of the Commissioner.
Forfeiture: $500
GBS Benefits Inc.: E-Case #3092; Order effective February 28, 2012.
Violations: 31A-23a-103(1)(a) – Respondent advertised services as a consultant agency without a valid license.
License Limitations: $1,500
Denise Norberg: E-Case #3041; Order effective February 14, 2012.
Violation: 31A-23a-103 – Acted in the capacity of an insurance customer service representative without being licensed by the Department.
License Limitation: 12 months probation
Forfeiture: $1,500
Jeffrey Matthei: E-Case #3102; Order effective February 14, 2012.
Violation: 31A-2-202(4) – Respondent failed to respond to an inquiry from the Commissioner.
License Limitation: $500
Deborah Jean Patterson: E-Case #3086; Order effective February 14, 2012.
Violation: 31A-23a-105(2) and 31A-2-202(6) – Respondent failed to disclose criminal history and prior administrative actions in other states on non-resident producer license application.
Forfeiture: $500
Liberty Bail Bonds and Clinton McQueen: E-Case #3047; Order Effective February 14, 2012.
Violation: R590-170(5)(7), Failed to reconcile the Trust Account.
License Limitation: 12 month probation
Forfeiture: $1,000
Wasatch Title Insurance Agency, LLC: E-Case #3057; Order effective January 14, 2012.
Violations: 31A-23a-103 – Requirements of license; 31A-23a-302. Agency Designations. Respondent allowed an unassociated producer with lapsed license to conduct escrow services on behalf of agency during the time license lapsed.
Forfeiture: $1,500
David Millard Insurance Agency: E-Case #3066; Order effective January 24, 2012
Violations: 31A-23a-110, 31A-23a-301, 31A-23a-302, Rule R590-154-503 & R590-154-7; Failed to obtain an agency license and failed to designate a licensed producer to the agency.
Forfeiture: $3,000
Gallagher Benefit Services Inc.: E-Case #3062; Order effective January 24, 2012.
Violations: 31A-23a-103(1)(a) – Advertised services as a consultant agency without a valid license.
Forfeiture: $1,500
Awesome Bail Bonds: E-Case #3068; Order effective: January 24, 2012.
Violation: R590-196-4(i) & R590-196-6 – Failed to update forms.
Forfeiture: $250
Dentist Direct LLC: E-Case #3034; Order effective January 4, 2012.
Violation: 31A-26-301.6(3)(a) – Failed to pay or deny claims within 30 days of receipt. 31A-23a-103 – Utilized 3 un-licensed Customer Service Representatives.
Probation: 12 months
Forfeiture: $14,000
License Surrendered
Adolphus Nolan Jr.: E-Case #3181; Order effective August 27, 2012
License Limitation: License Surrendered in lieu of administration action.
Matthew Papa: E-Case #3065; Order effective July 17, 2012.
License Limitation: Surrendered in Lieu
Patriot Title Insurance Agency, LLC: E-Case #2874; Order effective June 11, 2012.
License Limitation: Surrender in Lieu
James E. Pennington: E-Case #3155; Order effective May 31, 2012.
License Limitation: Surrender In Lieu of Administrative Actions
Harry Lam: E-Case #3056; Order effective May, 3, 2012.
Limitations: Surrender in Lieu of Administrative Action
Olivia Kyere-Boateng: E-Case #2963; Order effective May 22, 2012.
License Limitation: Surrender In Lieu of Administrative Action
Heather Kay Healey: E-Case #3042; Order effective April 14, 2012.
License Limitation: Surrender In Lieu of Administrative Action.
Kevin Potter: E-Case #3109; Order effective March 8, 2012.
Limitations: License Surrendered
Brianna Curry: E-Case #2944; Order effective March 29, 2012.
Limitations: License Surrendered
Spencer Ball & Associates: E-Case #2858; Order effective January 10, 2012
License Limitations: Surrender In Lieu of Administrative Actions
License Denied
Dean, Michael: E-Case #3227; Order effective December 4, 2012.
Violation: 31A-23a-107 – Failure to meet character requirements for a license.
License Limitation: License denied
Matheson, Vernile Bret: E-Case #3229; Order effective December 4, 2012.
Violation: 31A-23a-107 – Failure to meet character requirements for a license.
License Limitation: License denied
Shilo Platts: E-Case #3174; Order effective November 5, 2012.
Violation: 31A-23a-107 – Failure to meet character requirements for a license.
License Limitation: License denied
William Matthew Adjemian: E-Case #3214; Order effective November 6, 2012.
Violation: 31A-23a-107 – Failure to meet character requirements for a license.
License Limitation: License denied
Jordyn Skye Gallegos: E-Case #3175; Order effective November 6, 2012.
Violation: 31A-23a-107 – Failure to meet character requirements for a license.
License Limitation: License denied
Allison Harris: E-Case #3037; Order effective February 15, 2012.
Violations: 31A-223a-111(5)(b)(vi) – Failure to pay final judgment in this state
31A-23a-105(1)(b)(vii) – Committing an act that is a ground for denial
31A-23a-105(2)(b)&(c) – Failure to report criminal prosecution
31A-23a-107 – Failure to meet character requirements for a license
31A-23a-111(5)(b)(i) – Unqualified for a license
License Limitation: License denied
Sherrell K. Berrett: E-Case #3088; Order effective February 29, 2012.
Violations: 31A-223a-111(5)(b)(xvi) – Using fraudulent or dishonest practices;
31A-23a-105(1)(b)(vi) ) – Committing an act that is a ground for denial;
31A-23a-105(2)) – Failure to timely report a 2010 C&D action from Securities; and
31A-23a-111(5)(b)(xxiv) – Practice that endangers interests of customers.
License Limitation: Renewal of license denied
Courtney P. Koepp: E-Case # 3106; Order effectiveJune 5, 2012.
Violation: 31A-23a-107 – failure to meet character requirements for licensing.
31A-23a-105(1)(b)(ii) – failure to satisfy character requirements; 31A-23a-111(5)(b)(i) – is unqualified for a license.
License Limitation: License denied
Tiffani M. Lee: E-Case #3059; Order effective March 20, 2012.
Violations: 31A-23a-107 – Failed to meet the character requirements for licensing.
31A-23a-111(5)(b)(xxi) – Failed to pay state income tax.
License Limitation: License Denied.
Martin Edger Malzahn: E-Case #3064; Order effective March 20, 2012.
Violations: 31A-23a-111(5)(b)(iv) – Failed to pay final judgment in this state.
31A-23a-111(5)(b)(xxi) – Failed to pay state income tax.
License Limitation: License Denied.
Pamela K. Taylor: E-Case #3073; Order effective March 12, 2012.
Violation: 31A-23a-107 – Failed to meet character requirements for licensing.
31A-23a-105(1)(b)(ii) – Failed to satisfy character requirements.
31A-23a-111(5)(b)(i) – Unqualified for a license.
License Limitation: License denied
Erica L. Wright: E-Case #2975; Order effective February 24, 2012.
Violation: 31A-23-107 – Actions demonstrate that she does not meet the requirements.
License Limitation: License denied
Derick James Shumway: E-Case #2959; Order effective January 4, 2012.
Violation: 31A-23-107(2) Actions demonstrate that he does not meet the requirements.
License Limitation: License denied
Public Letter of Admonition
None
