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Administrative Orders - 2009
Enforcement Orders - Producer Actions

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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