Current Enforcement Actions


 

View Archived Enforcement Actions 

A.

Allstate Fire & Casualty Insurance Company 6/10/2014

Adjudication and Order

 

Antigua, John (Northampton, PA) 2/5/2014

Three-year license supervision – Antigua did not disclose his criminal proceedings on his application.

 

Archer, David (Houtzdale, PA) 1/16/2014

Five-year license supervision – Mr. Archer was convicted of misdemeanors which he fully disclosed on his application.

 

Atlantic States Insurance Company 6/2/2014

Adjudication and Order

 

B.

Baltodano, Ateasha (Sicklerville, NJ) 2/5/2014

§ 1033 waiver granted; indefinite supervision of license for prior felony conviction.

 

Baranik, Timothy (Altoona, PA) 4/28/2014

License revocation – Baranik converted policyholders’ premium payments for his personal use and accessed a company database to reduce uninsured and underinsured motorist cover limits without having the appropriate forms. Baranik must provide proof of restitution to the department.

 

Barbera, Kirk L (Smithton, PA) 4/8/2014

§ 1033 waiver granted; indefinite supervision of license for prior felony conviction.

 

Barnes, Charles Boyd (Oil City, PA) 4/4/2014

License revocation – Barnes failed to notify the department of his felony arrest.

 

Brame, Natasha (Philadelphia, PA) 4/9/2014

§ 1033 waiver granted; indefinite supervision of license for prior felony conviction.

 

Bridgeman, Alexandra (Delaware Water Gap, PA) 1/29/2014

Five-year license supervision, $2.500.00 civil penalty – Ms. Bridgeman used identifying information of other individuals to obtain lower quotes for customers.

 

Brown, Duane H. (Pittsburgh, PA) 6/24/2014

§ 1033 waiver granted; indefinite supervision of license for prior felony conviction.

 
C.
 

Camillo, Debra (York, PA) 8/27/2014

Three-year license supervision – Camillo was convicted of Official Misconduct, a misdemeanor before becoming licensed.

 

Cannariato, Barton R. (Lehighton, PA) 3/5/2014

Five-year license supervision, $2,000 civil penalty, $7,848.98 restitution – Cannariato misappropriated premiums. Policyholders were made whole by Monumental Life Insurance Co.

 

Cappello, John (Newtown Square, PA) 1/17/2014

Five-year license supervision – Mr. Cappello failed to notify the department of his arrest. Cappello shall report the disposition of the charges within 30 days.

 

Cero, Paul J. (Danville, PA) 11/21/2014

License Surrender; Restitution required – Cero was not registered with the PA Dept. of Banking and Securities to transact business in this state as a broker-dealer or investment advisor. Respondent requested partial surrenders from four policyholders in order for them to invest the surrender proceeds in an investment program, which Respondent later found to be fraudulent.

 

Chalas, Victor Hugo (Orlando, FL) 3/5/2014

License revocation – Chalas failed to report licensing actions from other states within the required 30-day timeframe.

 

D.

Daly, Robert Lodge (Yardley, PA) 3/24/2014

Five-year supervision, mandated cooperation with the Pennsylvania Insurance Department in any related investigations– Daly worked as a licensed producer for a person who did not have an active PA producer license. He aided in life insurance procurement or viatical settlement sales which the non-licensed person benefited from financially in the form of commission payments.

 

Diulus, Peter A (Bethel Park, PA) 7/10/2014

Four-year license supervision; $15,000 civil penalty – Diulus created a policy for an out-of-state third party investor that had no insurable interest in the client.

 

Donohoe, Timothy Joseph Jr. (Philadelphia, PA) 9/23/2014

Three-year license supervision – Donohoe was convicted of one misdemeanor and agreed to licensure with three (3) years of supervision.

 

Douk, Sivann M. (Philadelphia, PA) 7/7/2014

§ 1033 waiver granted; indefinite supervision of license for prior felony convictions.

 

E.

Earp, Janice (Washington, PA) 6/17/2014

Three-year license supervision – Earp failed to disclose her misdemeanor conviction on her application.

 

Encompass Home and Auto Insurance Company 5/8/2014

Adjudication and Order

 

F. 

Fisher, John Richard (Dingmans Ferry, PA) 4/15/2014

Three-year license supervision – Fisher failed to notify the department of his criminal proceedings. He must report disposition of charges to the department within 30 days.

 

Freer, Richard (Easton, PA) 4/4/2014

License revocation – Freer failed to notify the department of his felony criminal arrest and also failed to respond to the department inquiries. Freer must report disposition of the charges to the department within thirty (30) days.

 

Frost, Matthew (Pittsburgh, PA) 5/21/2014

Three-year license supervision – Frost was convicted of two minor felony offenses, which he disclosed on his license application.

 

G.

Gilmore, Rosalyn (Stroudsburg, PA) 1/24/2014

Five-year license supervision, $2,500 civil penalty – Ms. Gilmore used identifying information of other individuals to obtain lower quotes for customers and herself.

 

Goodwin, Chad J. (Warren, PA) 3/5/2014

License revocation, mandatory reporting of restitution – Goodwin failed to report arrest or other criminal proceedings and he misappropriated premiums.

 

Grimes, William R. (Philadelphia, PA) 7/7/2014

§ 1033 waiver granted; indefinite supervision of license for prior felony convictions.

 

Guess, Nicholas G. (Lafayette Hill, PA) 8/7/2014

License revocation; $6,555 restitution – Guess pled guilty to felony robbery.


H.

Happy, Michele Ann (Erie, PA) 9/23/2014

License surrender – Happy misrepresented herself as policyholders to obtain policyholder information.

 

Hockley, Robert W. (Camp Hill, PA) 11/14/2014

Three-year license supervision; $3,000 penalty – Hockley forged a policyholder’s signature on a Policy Delivery Acknowledgement without the policyholder’s consent or knowledge.

 

Hojnoski, Andrew J. (Greenfield, PA) 2/20/2014

Three-year license supervision – Hojnoski failed to disclose his criminal proceedings on his application.

I.

 

J. 

Jaquez, Ann Marie (Wilkes-Barre, PA) 6/17/2014

License revocation; timely compliance with all conditions of sentencing, including payments of any monies and restitution – Jaquez failed to report criminal proceedings to the Department.

 

Johnson, Trevor A. (Green, NY) 2/21/2014

Three-year license supervision – Johnson failed to disclose his criminal history on his application.


Jones, Christopher (Lakewood, CO) 3/20/2014

Five-year supervision, $1,000 civil penalty – Jones failed to report his criminal convictions on his Pennsylvania non-resident producer license application.

 

K. 

Kelly, William A., Jr. (Nashville, TN) 2/11/2014

Five-year supervision, $30,000 civil penalty – Kelley engaged in the sale of life insurance to approximately 800 individuals (i.e., members of two unions) using trust owned life insurance (TOLI). The premiums were totally funded by third party entities who lacked an insurable interest in the lives of the individuals.

 

Kimmel, Janice; & Protection Advisors, LLC (Miami, FL) 7/30/2014

License revocation – Kimmel fronted money and also received premium payments, yet failed to remit the money. Restitution totaling $51,425.00 has been paid.

 

Kratzer, Katie L. (Selinsgrove, PA) 6/30/2014

§ 1033 waiver granted; indefinite supervision of license for prior felony conviction.

 

Kustron, Robert A. (McMurray, PA) 8/21/2014

License revocation; proof of restitution – Kustron mismanaged his accounts.

 

L.

L.W. Pocono Ins. Agency, LLC (East Stroudsburg, PA) 1/23/2014

Five-year license supervision, $4,000 civil penalty- The agency used identifying information of other individuals to obtain lower premium quotes for customers.

 

Landrine, Valentina (Philadelphia, PA) 5/30/2014

§ 1033 waiver granted; indefinite supervision of license for prior felony conviction.

 

Leggett, Jeffrey D. (Johnson City, NY) 5/30/2014

Five-year license supervision; $1,000 penalty – Legget failed to disclose his criminal history and administrative actions on his application.

 

M.

Marcinek, Frank David (Coal Township, PA) 5/16/2014

Five-year license supervision – Marcinek failed to notify the department of his criminal charges.

 

May, Michael Lewis (Pittsburgh, PA) 5/29/2014

Three-year license supervision – May was convicted of a misdemeanor, which he disclosed on his license application.

 

McClain, Ronald K. (Wayne, PA) 7/22/2014

Must comply with Deferred Payment Plan (DPP) agreement entered into with the PA Dept. of Revenue; five-year license supervision – McClain defaulted on repayment agreements with the Department of Revenue and Office of Attorney General. He also misrepresented on his PA resident producer license renewal that he was tax compliant.

 

Miller, Lisa Ann (Millersburg, PA) 4/15/2014

§ 1033 waiver granted; indefinite supervision of license for prior felony conviction.

 

Muhammad, Amir R. (Collingdale, PA) 1/28/2014

Three-year license supervision – Mr. Muhammad failed to notify the department of his criminal arrest.

N.

Nationwide Affinity Insurance Compamy of America 5/20/2014

Adjudication and Order

 

O.

Oravitz, Stephen (Ringtown, PA) 1/27/2014

Five-year license supervision, $2,000 civil penalty – Mr. Oravitz failed to report his 2013 arrest within 30 days.


P.

Pullian, Newton A. Jr. (Philadelphia, PA) 5/29/2014

§ 1033 waiver granted; indefinite supervision of license for prior felony conviction.


Q.

R.

Reid, Richard E. and USA Insurance Brokers, LLC (Cheswick, PA) 6/11/2014

Five-year license supervision; $5,000 penalty – Reid allowed an unlicensed employee to conduct insurance transactions on three separate occasions and failed to remit all premium monies resulting in a policyholder receiving cancellation notices.

 

Ricketts, Norris (Delta, PA) 11/4/2014

License Surrender – Ricketts failed to report a Maryland administrative action to the Pennsylvania Insurance Department within 30 days.

 

Robinson, Destany (Duquesne, PA) 4/22/2014

License revocation – Robinson failed to report criminal proceedings.

 

Robinson, Summer Marie (Mineral Point, PA) 7/9/2014

License revocation – Robinson failed to report prior charges.

 

S.

Shaubach, Craig A. (Lancaster, PA) 9/23/2014

Ten-year license supervision; $1,000 penalty– Shaubach was sentenced for felony offenses and failed to list his criminal history on his application.

 

Siewert, Derek A. and ARX Ins. Advisors, LLC (Jacksonville, FL) 4/4/2014

License revocation; $50,000 civil penalty – Siewert engaged in the sale of life insurance using trust owned life insurance (TOLI) wherein the beneficiaries lacked insurable interest and premiums were paid by third party entities.

 

Sigafoos, Scott David, Jr. (Bethlehem, PA) 3/20/2014

Five-year supervision, compliance with court ordered restitution of $3,744.27 which must be paid on or before completing probation – Sigafoos, Jr. failed to disclose his criminal history/arrest on his initial application in April 2011.

 

Slupe, James E. (Lancaster, PA) 3/12/2014

Five-year supervision compliance with the Deferred Payment Plan (DDP) agreement entered into with the Pennsylvania Department of Revenue, $3,000 civil penalty– Slupe misrepresented that he was tax compliant on his 2007, 2009 and 2011 Pennsylvania Resident Producer License renewal applications.

 

Smith, Karsten M. (New Kingston, PA) 6/27/2014

§ 1033 waiver granted; indefinite supervision of license for prior felony conviction.

 

Smith, Stephanie (Tobyhanna, PA) 4/15/2014

§ 1033 waiver granted; indefinite supervision of license for prior felony conviction.

 

Sosa, William (Ebensburg, PA) 1/27/2014

Three-year license supervision – Mr. Sosa failed to disclose his pending misdemeanor charges on his application.

 

Sotak, Sean F. (Bear, DE) 5/28/2014

§ 1033 waiver granted; indefinite supervision of license for prior felony conviction.

 

Stopper, Benjamin (Sinking Springs, PA) 5/28/2014

License revocation – Stopper entered a guilty plea to two felony criminal offenses.

 

T.

 

Taylor, Craig J. (Philadelphia, PA) 11/6/2014

§ 1033 waiver granted; indefinite supervision of license for a prior felony conviction.

 

Taylor, George (Philadelphia, PA) 1/28/2014

Three-year license supervision – Mr. Taylor failed to disclose his criminal conviction on his initial resident producer’s license application.

 

U.

V.

Vereen, Vernon J. (Pittsburgh, PA) 3/6/2014

License surrender – Vereen failed to report criminal convictions.


W.

Wellman, Robert (Dunmore, PA) 9/24/2014

License revocation – Wellman failed to report his arrests and felony conviction to the department.

 

Wendt, Mark E. (Newry, PA) 1/23/2014

Five-year license supervision – Mr. Wendt failed to disclose criminal charges on his renewal application.

 

Wilson, Duane (Bethel Park, PA) 2/14/2014

§ 1033 waiver granted; indefinite supervision of license for prior felony conviction.

 

Wright, Jeanette (Hazelton, PA) 1/23/2014

Five-year license supervision, $2,500 civil penalty – Ms. Wright as a Qualifying Active Officer, failed to maintain control and oversight of agency employees who were licensed producers.

 

Wright, Jerome (Philadelphia, PA) 5/27/2014

Seven-year license supervision – Wright failed to notify the department of his arrest within 30 days.

 

Wright, Lorenzo and Lorenzo Wright Ins. Agency, LLC (Shenandoah, PA and Hazelton, PA) 1/23/2014

License revocations for Wright and the agency – Wright used other individuals’s personal information in the credit section of the application causing lower premiums to be quoted.

 

X.

Y.

 

Z.