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Administrative Orders - 2005

Enforcement Orders - Producer Actions

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Atteberry, Weldon R.
Beaverton, Oregon
Violation: Used a fraudulent, coercive or dishonest practice in the conduct of business.
Penalty: Oregon resident producer license revoked
Date of Order: 06/02/2005
Final
Bailey & DeBernardi Insurance, Inc.
Roseburg, Oregon
Violation: Commingled other funds in a trust account. Failed to timely deposit premiums in a trust account. Improperly withheld and misappropriated premiums. Failed to timely provide information to the Insurance Division.
Penalty: Oregon resident business entity producer license revoked
Date of Order: 08/24/2005
Final
Proposed
Bieker Agency, Inc.
Portland, Oregon
Violation: Failed to timely deposit premiums in a trust account. Prematurely withdrew premiums from a trust account. Failed to timely return premiums to an insured.
Penalty: $1,500 fine
Date of Order: 03/02/2005
Final
Bieker, Michael P.
Gresham, Oregon
Violation: Demonstrated incompetence and untrustworthiness. Withheld an insurance application and premiums.
Penalty: $3,000 fine
Date of Order: 03/02/2005
Final
Booker, Sheree L.
Wilmington, Delaware
Violation: Was subject to an enforcement action by another state insurance regulator. Is not licensed in her resident state. Failed to respond to an inquiry from the DCBS director.
Penalty: Oregon nonresident agent license revoked
Date of Order: 01/20/2005
Final
Brittingham, Gail A.
Wilmington, Delaware
Violation: Was subject to enforcement action by another state insurance regulator. Failed to respond to an inquiry from the DCBS director.
Penalty: Oregon nonresident agent license revoked
Date of Order: 01/13/2005
Final
Brookshire, Gerald A.
Boise, Idaho
Violation: Forged a person's name on an insurance application.
Penalty: Oregon nonresident producer license revoked
Date of Order: 12/21/2005
Final
Case, Sean W.
Carlsbad, California
Violation: Failed to respond to an inquiry from the DCBS director.
Penalty: Oregon nonresident agent license revoked
Date of Order: 02/23/2005
Final
Chastain, Derek A.
McMinnville, Oregon
Violation: Chastain, as an individual licensee, misappropriated premiums. Chastain, who also was licensed as a business entity, did not report the violation to the DCBS director and did not take corrective action.
Penalty: Individual and business entity licenses revoked. In lieu of a fine, Chastain agreed never to work in the insurance industry in Oregon.
Date of Order: 03/03/2005
Final
Christian, Crystal
Colorado Springs, Colorado
Violation: Failed to respond to an inquiry from the DCBS director.
Penalty: Oregon nonresident producer license revoked
Date of Order: 04/25/2005
Final
Clanton, Aubrey C. and Aubrey C. Clanton dba Clanton Insurance Agency
Portland, Oregon
Violation: Clanton transacted insurance in Oregon as an intermediary without a license. Clanton Insurance did not report Clanton's violation to the DCBS director or take any corrective action.
Penalty: In lieu of enforcement action, Clanton agreed not to renew his expired Oregon resident producer license or ever apply for any other insurance license in Oregon. Also in lieu of enforcement action, Clanton Insurance surrendered its license effective March 1, 2005, and agreed never to apply for any insurance license in Oregon.
Date of Order: 02/28/2005
Final
Crooke, Roger W.
New Market, Tennessee
Violation: Failed to respond to an inquiry from the DCBS director.
Penalty: Oregon nonresident producer license revoked
Date of Order: 06/06/2005
Final
Dierickx, Francis J.
Portland, Oregon
Violation: Transacted insurance in Oregon without an appointment or authorization to engage in such transactions by an agency appointed by the insurer. Failed to fully and/or timely respond to inquiries from the DCBS director.
Penalty: $3,000 fine
Date of Order: 03/02/2005
Final
Proposed
Endlar, Richard W. Insurance Agency, Inc.
Needham, Massachusetts
Violation: Transacted insurance in Oregon as an intermediary without a license.
Penalty: $1,000 fine
Date of Order: 06/07/2005
Final
Faubert, David M.
Simsbury, Connecticut
Violation: Was subject to and failed to report an enforcement action by another state insuance regulator.
Penalty: Oregon nonresident producer license revoked.
Date of Order: 11/23/2005
Final
Frazier, Gerald A.
The Dalles, Oregon
Violation: Failed to timely respond to an inquiry from the DCBS director.
Penalty: $250 fine
Date of Order: 01/10/2005
Final
Frazier, Michael K.
Sutherlin, Oregon
Violation: Misappropriated insurance premiums.
Penalty: Oregon resident producer license revoked
Date of Order: 07/18/2005
Final
Proposed
French, Paul J.
Bend, Oregon
Violation: Failed to report a criminal action. Was convicted of a crime.
Penalty: In lieu of enforcement action, French surrendered his Oregon resident producer license.
Date of Order: 05/20/2005
Final
Garcia, Russell J. D.
Fredericksburg, Virginia
Violation: Is not licensed in his resident state.
Penalty: Oregon nonresident producer license revoked.
Date of Order: 06/06/2005
Final
Georgen, James S.
Lake Oswego, Oregon
Violation: Had his limited securities license revoked by the Oregon Division of Finance and Corporate Securities. Demonstrated incompetence and untrustworthiness in the conduct of business. Failed to notify the Insurance Division that he was using an assumed business name.
Penalty: Oregon resident producer license revoked; $8,550 fine
Date of Order: 06/02/2005
Final
Proposed
Great Northern Underwriters, LLC
Portland, Oregon
Violation: Failed to timely return premiums to an insured.
Penalty: $2,000 fine
Date of Order: 03/03/2005
Final
Guldenzopf, Ellen A.
Milwaukie, Oregon
Violation: Withheld premiums from an insurer.
Penalty: Oregon resident producer license revoked. In lieu of a fine, Guldenzopf
Date of Order: 09/07/2005
Final
Guyett, Robert E.
Yuma, Arizona
Violation: Is not licensed in his resident state.
Penalty: Oregon nonresident agent license revoked
Date of Order: 01/13/2005
Final
Higgins, Ellen S.
Ridgefield, Washington
Violation: Made a false statement on an insurance application.
Penalty: Oregon resident agent license revoked
Date of Order: 01/13/2005
Final
Hill, Leland S.
Portland, Oregon
Violation: Made false statements on insurance applications.
Penalty: Oregon resident producer license revoked
Date of Order: 03/02/2005
Final
Proposed
Ji Xu, Chao
Portland, Oregon
Violation: Misappropriated moneys or property.
Penalty: Oregon resident producer license revoked.
Date of Order: 12/05/2005
Final
Judy III, William S.
Grants Pass, Oregon
Violation: Was convicted of a felony involving dishonesty or breach of trust.
Penalty: Oregon resident agent license revoked
Date of Order: 03/03/2005
Final
Kam-chung Yen, Eddie
Portland, Oregon
Violation: Failed to account for and maintain premiums in a trust account. Improperly withheld, misappropriated or converted premiums. Illegally withheld premiums from an insurer. Failed to timely deposit premium funds. Made a false statement on an insurance application.
Penalty: Oregon resident agent license revoked
Date of Order: 07/05/2005
Final
Proposed
Kirkman III, C. Harry, and Pacific Coast Insurance, Inc.
Tualatin and Portland, Oregon
Violation: Kirkman demonstrated incompetence in the conduct of business. Pacific Coast Insurance failed to report Kirkman's violations and did not take corrective action until contacted by the Insurance Division.
Penalty: Oregon resident producer licenses revoked
Date of Order: 08/09/2005
Final
Liebenthal, Alan S.
Portland, Oregon
Violation: Used a fraudulent practice in the conduct of business. Withheld moneys from an insurer.
Penalty: Oregon resident producer license revoked
Date of Order: 04/18/2005
Final
Mack, Kelly J.
Sutherlin, Oregon
Violation: Misappropriated insurance premiums.
Penalty: Oregon resident producer license revoked
Date of Order: 12/21/2005
Final
Marcotti, Jr., Warren L.
Winston, Oregon
Violation: Failed to respond to an inquiry from the DCBS director.
Penalty: Oregon resident producer license revoked
Date of Order: 10/03/2005
Final
Marsh & McLennan Companies, Inc., and Marsh, Inc.
New York, New York
Violation: Oregon and other state insurance regulators entered into a multi-state regulatory settlement with Marsh to ensure that it implements terms of its agreement with the New York Attorney General and New York Insurance Superintendent to resolve allegations of bid-rigging and steering clients to favored insurance companies. Washington was the lead state for the multi-state regulatory settlement.
Penalty: Marsh agreed to make $850 million in restitution to its clients nationwide and to implement business reforms.
Date of Order: 11/17/2005
Final
Multi-State Regulatory Settlement Agreement
New York Agreement
Marsh USA, Inc.
Portland, Oregon
Violation: Overcharged 22 Oregon public entities for insurance. Failed to maintain records of insurance transactions.
Penalty: $75,000 fine
Date of Order: 11/16/2005
Final
Moore, Gregory A.
Portland, Oregon
Violation: Failed to respond to an inquiry from the DCBS director.
Penalty: Oregon resident producer license revoked
Date of Order: 10/03/2005
Final
Morgan, Matthew J.
Houston, Texas
Violation: Failed to timely respond to an inquiry from the DCBS director.
Penalty: In lieu of enforcement action, Morgan surrendered his Oregon nonresident producer license and agreed never to apply for another insurance license in Oregon.
Date of Order: 06/06/2005
Final
Nguyen, Kenneth G.
Portland, Oregon
Violation: Misappropriated premiums.
Penalty: Oregon resident producer license revoked
Date of Order: 03/03/2005
Final
Pelikan, Deborah A.
Gresham, Oregon
Violation: Was convicted of felonies.
Penalty: Oregon resident producer license revoked
Date of Order: 03/02/2005
Final
Proposed
Pfeil, Bristolyn M.
La Pine, Oregon
Violation: Was convicted of a felony involving dishonesty or breach of trust.
Penalty: Oregon resident producer license revoked
Date of Order: 07/18/2005
Final
Romero, Frances M.
Gold Hill, Oregon
Violation: Was convicted of a felony involving dishonesty or breach of trust.
Penalty: Oregon resident producer license revoked
Date of Order: 03/03/2005
Final
Scrivens, Louis G.
Portland, Oregon
Violation: Made false statements on insurance applications.
Penalty: $2,000 fine
Date of Order: 03/02/2005
Final
Proposed
Sherrell, Brenda J.
Hermiston, Oregon
Violation: Transacted insurance without a license.
Penalty: $3,000 fine
Date of Order: 05/20/2005
Final
Stamm, Donald C. and Pacific Rim Insurance, Inc.
Portland, Oregon
Violation: Stamm failed to respond to an inquiry from the DCBS director. Pacific Rim Insurance did not report Stamm's violation to the DCBS director and did not take corrective action.
Penalty: Oregon resident producer licenses revoked
Date of Order: 03/02/2005
Final
Stratford, Val T.
Bountiful, Utah
Violation: Was subject to enforcement action and failed to report an enforcement action by another state insurance regulator.
Penalty: In lieu of enforcement action, Stratford surrendered his Oregon nonresident producer license and agreed never to apply for an insurance license in Oregon
Date of Order: 08/08/2005
Final
Stucki, Marvin A., Tigard, Oregon;Berkley J. Stucki,Woodburn, Oregon;Columbia Agencies, Inc., and Columbia Insurance Group, Inc.,Portland, Oregon;Willamette Insurance Group, Inc., Beaverton, Oregon
Violation: Marvin and Berkley Stucki commingled premiums with other funds in a trust account, and failed to deposit premiums in a trust account. Columbia Insurance Group used a trust account in another state without permission. Columbia Agencies, Columbia Insurance Group, and Willamette Insurance Group each are subject to enforcement actions because of the actions of Marvin and Berkley Stucki.
Penalty: Oregon resident agent and resident consultant licences revoked
Date of Order: 02/14/2005
Final
Swafford, Judi A.
Oklahoma City, Oklahoma
Violation: Was subject to enforcement action by another state insurance regulator. Failed to respond to an inquiry from the DCBS director.
Penalty: Oregon nonresident agent license revoked
Date of Order: 01/18/2005
Final
Swett & Crawford
Lake Oswego, Oregon
Violation: Failed to timely respond to an inquiry from the DCBS director.
Penalty: $3,000 fine
Date of Order: 06/09/2005
Final
Tartaglia, Racheal R.
Fredericksburg, Virginia
Violation: Is not licensed in her resident state.
Penalty: Oregon nonresident producer license revoked
Date of Order: 06/06/2005
Final
Town & Country Dodge, Inc.
Portland, Oregon
Violation: Demonstrated incompetence in the conduct of business.
Penalty: $1,000 fine
Date of Order: 06/09/2005
Final
Trinh, Dave H.
Kent, Washington
Violation: Was subject to enforcement action by another state insurance regulator.
Penalty: Oregon nonresident producer license revoked
Date of Order: 09/06/2005
Final
Proposed
Waddell & Reed, Inc. and W & R Insurance Agency, Inc.
Overland Park and Shawnee Mission, Kansas
Violation: Coordinated investigations by the National Association of Securities Dealers, Inc. (NASD), and several state securities and insurance regulators found violations of NASD rules and state laws governing annuity exchanges.
Penalty: Waddell & Reed and W & R Insurance Agency did not admit or deny any violations, but agreed to take certain corrective actions, pay restitution to customers, and pay a fine of $5 million to NASD and $2 million to the participating states. Oregon received $78,140 of the fine.
Date of Order: 08/09/2005
Final
NASD settlement agreement
Kansas & Minnesota settlement agreement
Willamette Pontiac, Inc. dba Willamette Auto Group
Salem, Oregon
Violation: Demonstrated incompetence, untrustworthiness, or financial irresponsibility in the conduct of business.
Penalty: $1,000 fine
Date of Order: 05/23/2005
Final
Witbeck, Jay D. and Senior Benefits Group, LLC
Tigard, Oregon
Violation: Witbeck demonstrated untrustworthiness in the conduct of business. Senior Benefits Group did not report Witbeck's violation to the DCBS director or take any corrective action.
Penalty: Oregon individual resident producer and business entity licenses revoked
Date of Order: 05/19/2005
Final
Withnell Motor Company
Salem, Oregon
Violation: Demonstrated incompetence, untrustworthiness, or financial irresponsibility in the conduct of business.
Penalty: $1,000 fine
Date of Order: 05/23/2005
Final
Wolff, Darrel R.
The Dalles, Oregon
Violation: Engaged in dishonest business practices.
Penalty: Oregon resident agent license revoked
Date of Order: 01/11/2005
Final
Wyche, Gary A. and Oregon Country Associates, Inc.
Clackamas, Oregon
Violation: Wyche failed to deposit premiums in a trust account; used a fraudulent, coercive or dishonest practice in the conduct of business; and made a false statement to the DCBS director. Oregon Country Associates failed to report Wyche's violations or take corrective action.
Penalty: Oregon resident individual and business entity producer licenses revoked
Date of Order: 09/19/2005
Final