|
| Boles, Steven R |
| Union, Oregon |
| Violation: Made false statements and forged names on 10 fictitious insurance applications, receiving $10,172.62 in commissions. |
| Penalty: Expired Oregon resident insurance producer license revoked. |
| Date of Order: 08/03/2009 |
| Final |
|
| Bowcut, Jerry S |
| Portland, Oregon |
| Violation: Forged persons' name on insurance documents and misappropriated money. |
| Penalty: Expired Oregon resident producer license revoked. |
| Date of Order: 12/15/2009 |
| Final |
|
| Cardinale, Guy G |
| Rumson, New Jersey |
| Violation: Failed to report criminal action. Convicted of felony involving dishonesty or breach of trust. Nonresident producer license revoked by other state insurance regulator. Failed to report administrative action by another state regulator. |
| Penalty: Expired Oregon nonresident insurance producer license revoked. |
| Date of Order: 02/23/2009 |
| Final |
|
| Caselman, Brandon L |
| St. Helens, Oregon |
| Violation: Made unsuitable recommendations in life insurance transactions. |
| Penalty: Oregon insurance producer license revoked. |
| Date of Order: 06/01/2009 |
| Final |
|
| Clarkson, Patrick V |
| Eugene, Oregon |
| Violation: Made false statements on an insurance application. Failed to timely respond to DCBS director's inquiry. Failed to notify director of change of residence address. |
| Penalty: Revocation of Oregon resident insurance producer license |
| Date of Order: 04/20/2009 |
| Final |
|
| Diaz, Raul A |
| Kennewick, Washington |
| Violation: Subject to enforcement action by another state insurance regulator. Failed to report action by another state’s insurance regulator. Failed to timely respond to an inquiry from the DCBS director. |
| Penalty: Oregon nonresident producer insurance license revoked |
| Date of Order: 04/17/2009 |
| Final |
|
| Ferguson, Michael B |
| Vancouver, Washington |
| Violation: Made unsuitable recommendation in life insurance transactions. |
| Penalty: Nonresident insurance producer license suspended for 60 days, from June 15, 2009, through August 14, 2009. Fined $2,143.75. |
| Date of Order: 06/12/2009 |
| Final |
|
| Frazier, Gerald A |
| The Dalles, Oregon |
| Violation: Demonstrated incompetence by failing to verify information before signing a certificate of liability insurance required by a state agency for an auto dealer. |
| Penalty: Fined $5,000 |
| Date of Order: 08/19/2009 |
| Final |
|
| Giles, Cory B. and Dealer Insurance Strategies Northwest (DISNW), Inc. |
| Wilsonville, Oregon |
| Violation: Used dishonesty in business by misrepresenting that a client was insured when it wasn't. Misappropriated money by accepting funds to pay insurance premiums but failing to purchase the insurance. Co-mingled premium with commission money in insurance premium trust account. Giles was an officer of DISNW, allowing DCBS to take enforcement action against the business, as well as the individual. |
| Penalty: Oregon resident individual insurance producer license and business entity license revoked. |
| Date of Order: 12/17/2009 |
| Final |
|
| Hayden, Brian D |
| Louisville, Kentucky |
| Violation: Insurance license revoked by insurance regulators in other states. Failed to report administrative actions by insurance regulators in other states. |
| Penalty: Expired individual nonresident insurance license revoked. |
| Date of Order: 06/16/2009 |
| Final |
|
| Holmes, David. W. dba Three Rivers Financial Group |
| Grants Pass, Oregon |
| Violation: Failed to make reasonable inquiry into person’s circumstances before recommending annuity transactions. Made false statement on an insurance application. Failed to report violation of insurance laws to the DCBS director. |
| Penalty: Holmes’ Oregon resident producer insurance license suspended from 8-1-09 through 9-30-09 and he is fined $2,000. Three Rivers surrenders its Oregon resident insurance producer license and agrees not to reapply. |
| Date of Order: 08/18/2009 |
| Final |
|
| Marbell, Dennis W |
| Bend, Oregon |
| Violation: Forged names on three applications to reinstate life insurance. |
| Penalty: Fined $3,000 |
| Date of Order: 08/25/2009 |
| Final |
|
| Mohs, Nicolasa |
| Salem, Oregon |
| Violation: Failed to report administrative actions by two other state agencies, the Government Standards and Practices Commission and the Teachers Standards and Practices Commission. Made fraudulent statement on an insurance application by submitting a life insurance application for her father to an insurance company even though she knew he hadn't applied for the policy. Additionally, she forged the signature of another insurance agent on the application and was aware that her mother forged her father's signature on the application. Made false statement to the DCBS director about the date she submitted the life insurance application to the insurance company. |
| Penalty: Expired Oregon resident insurance producer license revoked. |
| Date of Order: 09/28/2009 |
| Final |
|
| Momberger, M Linda dba Jack Barber Insurance |
| Aloha, Oregon |
| Violation: Failed to timely respond to a DCBS director's inquiry |
| Penalty: $2,000 |
| Date of Order: 05/19/2009 |
| Final |
| Proposed |
|
| Morgan, Danette E |
| Dallas, Texas |
| Violation: Nonresident insurance license revoked by insurance regulators in other states. Failed to report administrative action by another state?s regulator. |
| Penalty: Expired, nonresident insurance producer license revoked. |
| Date of Order: 07/31/2009 |
| Final |
|
| Murray, Dennese M |
| Springfield, Oregon |
| Violation: Made unsuitable recommendation in life insurance transaction |
| Penalty: Oregon expired resident insurance producer license revoked |
| Date of Order: 03/24/2009 |
| Final |
|
| OBrien, Jeffrey R |
| Lynchburg, Virginia |
| Violation: Nonresident producer license revoked or temporarily denied by other state insurance regulator. Failed to report administrative action by another state insurance regulator. Failed to respond to inquiry by Department of Consumer and Business Services director. |
| Penalty: Oregon nonresident insurance producer license revoked |
| Date of Order: 02/23/2009 |
| Final |
|
| Padilla, Mike |
| San Antonio, Texas |
| Violation: Convicted of felony involving dishonesty or breach of trust. Provided incorrect, misleading, incomplete or materially untrue information on insurance license application. Nonresident insurance producer license revoked by other state insurance regulators. Failed to report administrative actions by other state insurance regulators. |
| Penalty: Expired Oregon nonresident insurance producer license revoked. |
| Date of Order: 03/04/2009 |
| Final |
|
| Tran Fong, Helen |
| San Jose, California |
| Violation: Failed to report a criminal action. Convicted of a felony involving dishonesty or breach of trust. Resident insurance producer license revoked by State of California. Failed to report enforcement action by another state insurance regulator |
| Penalty: Nonresident insurance producer license revoked |
| Date of Order: 01/29/2009 |
| Final |
|
| Unruh, Cindy L., aka, Demoss, Cindy L |
| Salem, Oregon |
| Violation: Made false or fraudulent statements on 25 applications for disability insurance by misstating applicants’ income. Agent received $2,160.42 in commissions on the transactions. |
| Penalty: Oregon resident insurance producer license revoked. Unruh agrees never to reapply for license or work for other insurance agent or agency. |
| Date of Order: 08/20/2009 |
| Final |
|
| Victor, Kim M |
| Redmond, Oregon |
| Violation: Used a dishonest practice by forging 20 documents transferring investment accounts of five Oregonians from one investment firm to another. |
| Penalty: Oregon resident insurance producer license revoked |
| Date of Order: 04/28/2009 |
| Final |
|
| Whitlock, Lance J |
| Eugene, Oregon |
| Violation: Forged names of two people on documents related to insurance transactions. |
| Penalty: $2,000 |
| Date of Order: 10/06/2009 |
| Final |
|
| Williams, Debra L., formerly Hanes, Debra L |
| Redmond, Oregon |
| Violation: Forged a client’s name on an amendment to a life insurance policy application. |
| Penalty: Fined $1,000 |
| Date of Order: 08/25/2009 |
| Final |
