Source: http://www.portal.state.pa.us/portal/server.pt/community/industry_activity/9276/archived_enforcement_actions_w_-_z/1138593
Timestamp: 2014-09-01 21:21:19
Document Index: 141613161

Matched Legal Cases: ['§1033', '§ 1033', '§ 1033', '§ 1033', '§ 1033', '§ 1033', '§ 1033']

Industry Activity - Hide Archived Enforcement Actions W - Z
W W & R Insurance Agency, Inc. (Shawnee Mission, KS) 8/05 Waddell & Reed, Inc. (Shawnee Mission, KS) 8/05
Wagner, James M. and Alliance Adjustment Group, Inc. (Doylestown, PA) 08/01/11 Five-year license supervision and $4,000 civil penalty – Wagner employed an unlicensed individual.
Waldorf Risk Solutions, LLC (Huntington, NY) 11/14/12 Five-year license supervision and $72,619 restitution – Waldorf agreed to settle the allegations of failing to remit taxes or filing fees on approximately 200 surplus lines policies.
Walker, John (King of Prussia, PA) 8/08 Prior felony conviction, §1033 waiver, ongoing supervision of producer license
Walsh, Daniel Edmund (Jamestown, NY) 4/27/10 Five-year license supervision and $5,000 penalty: Impersonating a policyholder on the telephone in order to complete a tax deferred annuity transaction.
Walsh, Noel K. (Short Hills, PA) 3/05 Walter P. Geoghan Agency, Inc. (Blue Point, NY) 8/06 Walter, Joseph George Jr. (Reading, PA) 8/05 Walters, Robert F. Jr. (Acme, PA) 9/04
Walthour, Joseph Washington (Philadelphia, PA) 5/8/2013
Indefinite license supervision – Walthour was granted an 18 U.S.C. Section 1033 waiver for a prior felony conviction.
Walton, Adrienne (Springfield, PA) 6/05 Ward, Christopher L. (Monroeville, PA) 5/26/11 Three-year license supervision – Ward was convicted of three DUI’s and other related offenses, all of which were disclosed on his producer license application.
Warner, Alfred Ritchie III (Waynesboro, PA) 4/1/11 Three-year license supervision – Warner was arrested and pled guilty for misdemeanor possession of cannabis.
Washkalavitch, Stephen J. (Glen Mills, PA) 3/08 Failed to leave copy of appraisal; 3-year license supervision of motor vehicle, physical damage appraiser license Wasmund, Michelle S. (Cranesville, PA) 9/17/2013
Watkinson, Mark (Paoli, PA) 9/08 Five-year license supervision for pleading guilty in 2006 to Access Device Fraud
Wattier, Jason D. (Coatesville, PA) 6/22/12 § 1033 waiver granted; indefinite supervision of license for prior felony conviction. Watts, Andrea R. (Harrisburg, PA) 7/07
Webb, Katherine M. and Preferred Transportation Insurance, Inc. (Erie, PA) 12/09/09 License revocation and five-year future license supervision for failing to remit $167,305 in collected premiums from policyholders.
Webster, Kevin Leandro (Hatboro, PA) 5/7/2013
Weinroth, Bruce C. (Wynnewood, PA) 2/12/10 Five-year license supervision and $10,000 restitution - submitting false information on a life insurance application.
Weisbrot, John G. (New Hope, PA) 1/04
Weiser, Carl S. (Southampton, PA) 2/12/13
Weiser, Carl S. (Southampton, PA) 6/26/12 Five-year license supervision and $1,000 penalty – Weiser pled guilty to misdemeanor simple assault in 2003 and failed to list the arrest or conviction on his subsequent license renewals.
Weiss, Russell S. (Doylestown, PA) 7/07 Western and Southern Life Insurance Company (Cincinnati, OH) 01/06 Westrum, Valerie S. (Sioux Falls, SD) 7/07
Weymer, Thomas J., Sr. (Ashville, PA) 7/9/10 Seven-year license supervision – Weymer failed to report an administrative action by the Pa Securities Commission which permanently bars him from offering or selling securities in Pennsylvania. Wezner, Richard S. (Blue Bell, PA) 9/06 White, Francis C. (Warminster, PA) 6/8/11 § 1033 waiver granted; indefinite supervision of license for prior felony conviction. White, Gary (St. Petersburg, FL) 12/05 White, Kristen J. (McKees Rock, PA) 8/07
Wicks, Jeffrey A. (Salix, PA) 4/14/11 License revocation – Wicks misappropriated over $800,000 for his personal use.
Wikert, Lisa G. (Natrona Heights, PA) 10/06 Willey, Bryan S. (Dover, DE) 3/5/10 License revocation and five-year future license supervision for using good credit scores of six consumers in place of bad credit scores, and failing to notify the department of his license revocation in Delaware for similar activity. Williams, Darryl L. (Kansas City, MO) 11/06
Williams, Erin L. (Osceola Mills, PA) 2/06 Williams, George C. (Philadelphia, PA) 4/30/2013
License suspension – Williams failed to report to the department he was arrested and charged with six felonies. Williams, Lashanda R. (Palmer, PA) 05/23/12 Seven-year license supervision and proof of probation compliance – Williams fully disclosed a 2010 misdemeanor conviction on her producer license application. Williams, Reginald, d/b/a Watermark Financial Assurance Group (Palmyra, NJ and Philadelphia, PA) 10/7/10 Five-year license supervision and $5,000 penalty – Williams failed to register the fictitious name of his entity, misrepresented tax compliance status on his renewal application and falsified errors and omissions certificates.
Wilson, Max T. III (Butler, PA) 08/22/11 § 1033 waiver granted; indefinite supervision of license for prior felony conviction. Wilson, Ryan L. (Hanover, PA) 12/06 Winch, Donald H. (Salem, OH) 10/06
Wise, Thomas E. (Harrisburg, PA) 10/25/11 Five-year license supervision – Wise failed to pay personal income tax from 1998 to 2006 and did not disclose his tax obligations on his renewal applications.
Wiser, Daryl E. (Berwyn, PA) 10/23/12 Five-year license supervision and $1,000 penalty – Wiser submitted two documents containing forged signatures and false information. Wiser also was arrested in 2011 and 2012 and failed to report the arrests to the department. Witmer, Chuck E., Sr. (Hershey, PA) 3/5/09 Three-year license supervision for a prior criminal history that was disclosed on his initial license application. Wolf, James W., Jr. (Ellicott City, MD) 9/08 Three-year license supervision for procuring three surplus lines policies during 2004 with proper licensure
Wolf, Rodney F. (Carlisle, PA) 8/1/12 License surrender – Wolf failed to pay state income tax from 2001 through 2008, which he misrepresented on his license renewals. Wolfgang, Amanda Lynn (Enola, PA) 12/08 Three-year license supervision for a 2005 misdemeanor conviction disclosed on her licensing application, and disposition into ARD program.
Work First Casualty Company (Wilmington, DE) 4/08 Untimely submission of Workers' Compensation Accident & Illness Prevention Report; Cease and desist
Worldwide Insurance Systems Enterprises (WISE) (Philadelphia, PA) 6/08 See Chester, Linda
Wosotowsky, John D. (Monaca, PA) 1/13/11 License revocation – Wosotowsky failed to report to the department that he is under criminal investigation for alleged misappropriation of insurance or investment proceeds.
Y Yates, Lionel A. (Philadelphia, PA) 7/25/12 Five-year license supervision and proof of compliance with any court-ordered support obligation – Yates’ producer license was previously suspended for failure to pay child support. Yeckley, Joseph F. (Brockport, PA) 6/06
Yenen, David Celal (East Greenville, PA) 5/7/2013
Yilmaz, Sherri (Croydon, PA) 1/08 Felony conviction; indefinite license supervision granted with approved § 1033 waiver application
Yingst, Christine M. (Palmyra, PA,) and Valley Settlement Agency, LLC (Harrisburg, PA) 5/19/11 License revocation – Yingst allowed nine fiduciary errors to occur, allowing funds to be misdirected to a personal acquaintance. Yokely, Karen (Chester, PA) 12/08 Five-year license supervision for failing to disclose a 1983 misdemeanor convictionin Illinois.
Yoo, John Y. (Colmar, PA) and Cornerstone Insurance and Financial Services, Inc. (Elkins Park, PA) 5/3/2013
Seven-year license supervision and restitution – Yoo improperly withheld premiums and charged improper fees. York, Keith Allen (Levittown, PA) and York Adjustment Company, Inc. (New Hope, PA) 4/20/09 License revocation, $4,000 restitution and five-year future license supervision for misappropriating three settlement checks and failing to respond to requests for assistance from other clients. Young, Robin L. (East Pittsburgh, PA) 8/07
Young, Terence (Pittsburgh, PA) 1/08 Felony conviction; indefinite license supervision granted with approved § 1033 waiver application Young, Thomas (Apollo, PA) 10/22/2013
Five-year license supervision; report disposition of charges – Young failed to notify the department of his criminal arrest.
Yuhas, Nickolas C. (Chagrin Falls, OH) 2/05 Yurko, Thomas K. (Orangeville, PA) 2/06 Yurkovich, Allen J. (Altoona, PA) 10/06 Z Zajac, Jeffrey E. (Erie, PA) 10/05
Zelnick_Robert_W. (Bethlehem,PA) 6/04
Ziemianski, Mark Anthony (Youngstown, OH) 8/1/12 Five-year license supervision and $1,000 penalty – Ziemianski was convicted of a prior felony and administrative action in Ohio, which he disclosed on his license renewal application. Zimmerman, Rebecca Lyn (Murrysville, PA) 7/12/11 License revocation – Zimmerman solicited insurance for a non-existent entity.
Zufall, Colleen O. (Scottdale, PA) 4/19/2013License revocation Zufall admitted to backdating an automobile insurance application and signing the client’s signature two times on an application.
Zukowski, Eric E. (Pittsburgh, PA) 8/21/12 Indefinite license supervision and $3,800 restitution – Zukowski was granted a § 1033 waiver for a previous felony conviction.
Zupsic, Matthew M. (Ft. Myers Beach, FL) 3/2/09 License revocation and five-year future license supervision for failing to report a prior criminal conviction.
DATE/TIME:Sep 1, 2014 5:21:18 PM