| Licensee Name | Type of License | Case No. | Primary Allegation(s) | Disposition | Effective Date |
|---|
| Joseph P. Law Hudson, NH | Agent & Broker | 2672A | Failure to maintain standards of trustworthiness and suitability: Deposited client funds to personal account; Misrepresentation on insurance license applications | Settlement Agreement: Ten year license revocation; Disposition of interests in insurance business; Cease & Desist | 10/5/00 |
| Mastors & Servant, Ltd. East Greenwich, RI | Unlicensed | 3412 | Participating in business of insurance without valid license | Settlement Agreement: $2,500 fine; Cease & Desist | 10/10/00 |
| T.J. Dacey, Ltd. East Greenwich, RI | Unlicensed | 3419 | Participating in business of insurance without valid license | Settlement Agreement: $2,500 fine; Cease & Desist | 10/10/00 |
| Narragansett Underwriting Group, Inc. Warren, RI | Unlicensed | 3396 | Participating in business of insurance without valid license | Settlement Agreement: Cease & Desist | 10/10/00 |
| Preston Insurance Alliance Warwick, RI | Unlicensed | 3370 | Participating in business of insurance without valid license | Settlement Agreement: Cease & Desist | 10/2/00 |
| McLane Insurance Agency, Inc. Riverside, RI | Unlicensed | 3410 | Participating in business of insurance without valid license | Settlement Agreement: Cease & Desist | 10/10/00 |
| Caldwell Insurance, Inc. Warwick, RI | Unlicensed | 3406 | Participating in business of insurance without valid license | Settlement Agreement: Cease & Desist | 10/16/00 |
| Mansfield Insurance Agency, Inc. Westerly, RI | Unlicensed | 3394 | Participating in business of insurance without valid license | Settlement Agreement: Cease & Desist | 10/10/00 |
| Maggiacomo Insurance Agency North Providence, RI | Unlicensed | 3382 | Participating in business of insurance without valid license | Settlement Agreement: Cease & Desist | 10/16/00 |
| Richard A. DeBlasio Insurance Agency, Inc. Pawtucket, RI | Unlicensed | 3392 | Participating in business of insurance without valid license | Settlement Agreement: Cease & Desist | 10/16/00 |
| Gates Insurance Agency, Inc. Peace Dale, RI | Unlicensed | 3376 | Participating in business of insurance without valid license | Settlement Agreement: Cease & Desist | 10/16/00 |
| Aloisi Insurance Associates, Inc. Providence, RI | Unlicensed | 3407 | Participating in business of insurance without valid license | Settlement Agreement: Cease & Desist | 10/16/00 |
| Riley Insurance Agency, Inc. Middletown, RI | Unlicensed | 3397 | Participating in business of insurance without valid license | Settlement Agreement: Cease & Desist | 10/16/00 |
| Affiliated Insurance Managers Warwick, RI | Unlicensed | 3398 | Participating in business of insurance without valid license | Settlement Agreement: Cease & Desist | 10/16/00 |
| Universal Insurance North Providence, RI | Unlicensed | 3411 | Participating in business of insurance without valid license | Settlement Agreement: Cease & Desist | 10/16/00 |
| Esten & Richard Agency, Inc. Woonsocket, RI | Unlicensed | 3387 | Participating in business of insurance without valid license | Settlement Agreement: Cease & Desist | 10/16/00 |
| Contractors Insurance Services, Inc. East Providence, RI | Unlicensed | 3403 | Participating in business of insurance without valid license | Settlement Agreement: Cease & Desist | 10/19/00 |
| Harold E. Beaudoin Insurance, Inc. East Providence, RI | Unlicensed | 3402 | Participating in business of insurance without valid license | Settlement Agreement: Cease & Desist | 10/19/00 |
| Herman Lapointe Jr. Insurance Agency Fall River, MA | Unlicensed | 3381 | Participating in business of insurance without valid license | Settlement Agreement: Cease & Desist | 10/20/00 |
| Sharples & Thomas, Ltd. East Providence, RI | Unlicensed | 3404 | Participating in business of insurance without valid license | Settlement Agreement: Cease & Desist | 10/19/00 |
| Donald C. Sarin Lenox, MA | Agent | 3187 | Failure to maintain standards of trustworthiness & suitability: Revocation of securities license by MA Secretary of State | Settlement Agreement: Permanent license revocation; Disposition of all interests in any insurance business | 10/25/00 |
| Burns & Cotter, Inc. Providence, RI | Unlicensed | 3393 | Participating in business of insurance without valid license | Settlement Agreement: Cease & Desist | 10/27/00 |
| Barton Insurance Group Cranston, RI | Unlicensed | 3380 | Participating in business of insurance without valid license | Settlement Agreement: Cease & Desist | 10/31/00 |
| Braman & White Newport, RI | Unlicensed | 3384 | Participating in business of insurance without valid license | Settlement Agreement: Cease & Desist | 10/31/00 |
| Gay, John William Duxbury, MA | Agent | 3440 | Failure to maintain standards of trustworthiness & suitability (failure to report criminal record on 3 MA insurance license applications). | Settlement Agreement: $1,500 fine; Cease & Desist | 11/2/00 |
| J.J. Gilmartin & Son Agency, Inc. Warwick, RI | Unlicensed | 3373 | Participating in business of insurance without valid license | Settlement Agreement: Cease & Desist | 11/2/00 |
| Cres Insurance Services, Inc. San Diego, CA | Unlicensed | 3215A | Participating in the business of insurance without a valid license; Rebating | Settlement Agreement: $5,000 fine; Cease & Desist | 11/10/00 |
| Esten & Richard Agency, Inc. Woonsocket, RI | Unlicensed | 3401 | Participating in the business of insurance without a valid license | Settlement Agreement: Cease & Desist | 11/10/00 |
| Legion Insurance Company Philadelphia, PA | Property / Casualty Company | 3273 | Paying commission to unlicensed entity | Settlement Agreement: $6,000 fine; Cease & Desist | 11/17/00 |
| Garrick, Trevor A. Dorchester, MA | Agent & Broker | 3285 | Failure to remit workers' compensation policy premium to insurance company; failure to place workers' compensation coverage; falsification of insurance documents | Settlement Agreement: 5 year license revocation; Cease & Desist; disposition of all interests in any insurance business | 11/28/00 |
| North American Company for Life & Health Insurance Chicago, IL | Life and Accident & Health Company | 2751H | Paying commission to unlicensed entity | Settlement Agreement: $59,500 fine; Cease & Desist; Compliance Program | 12/4/00 |
| Valley Forge Life Insurance Company Chicago, IL | Life / Accident & Health Company | 2984C | Paying commission to unlicensed entity | Settlement Agreement: $4,900 Fine; Cease & Desist | 12/5/00 |
| Breen, Paul R. Needham, MA | Non-Resident Agent | 3306 | Misrepresenting the terms of a homeowners' insurance policy | Settlement Agreement: $875 Fine; Cease & Desist | 12/7/00 |
| James W. Devaney Fuel Company West Roxbury, MA | Unlicensed | 3356 | Unlicensed solicitation of oil tank insurance | Settlement Agreement: $250 Fine; Cease & Desist | 12/7/00 |
| Lingle, Gail M. Kenilworth, IL | Non-Resident Agent | 3443 | Failure to maintain standards of trustworthiness & suitability (failure to report IL Insurance Dept. license action on MA license application.) | Settlement Agreement: $250 Administrative Assessment; Cease & Desist | 12/7/00 |
| Zalis, Charles Nelson Hollywood, FL | Non-Resident Agent | 3303 | Failure to maintain standards of trustworthiness & suitability (failure to report full history of regulatory actions) | Settlement Agreement: $1,000 Fine; Cease & Desist | 12/8/00 |
| First Penn-Pacific Life Insurance Company Schaumburg, IL | Life & Accident/Health Company | 2984F | Paying commission to unlicensed entity | Settlement Agreement: $5,500 Administrative Assessment; Cease & Desist | 12/13/00 |
| Security CT Life Insurance Company Avon, CT | Life Insurance Company | 2984I | Paying commission to unlicensed entity | Settlement Agreement: $175 Adminstrative Assessment; Cease & Desist | 12/14/00 |
| Sottile, Frank S. Simsbury, CT | Non-Resident Agent & Broker | 2994 | Misrepresentation on insurance licenses application; Failure to maintain standards of trustworthiness and suitability | Settlement Agreement: 10 year license revocation; Cease & Desist; disposition of all interests in any insurance business | 12/14/00 |
| Warnock, Mary Ann Northampton, MA | Broker | 3444 | Failure to maintain standards of trustworthiness and suitability; Participating in business of insurance without valid license; Use of insurance company stamp to file false applications with Registry of Motor Vehicles | Settlement Agreement: 10 year license revocation; Disposition of all interests in any insurance business | 12/14/00 |
| Chaffee, William J. South Hadley, MA | Property / Casualty Broker | 3444A | Paying commission to unlicensed entity | Settlement Agreement: $1,265 Administrative Assessment; Cease & Desist | 12/18/00 |
| Banner Life Insurance Company Rockville, MD | Life Insurance Company | 2984E | Paying commission to unlicensed entity | Settlement Agreement: $175 Adminstrative Assessment; Cease & Desist | 12/19/00 |
| Renner, Mary Frances Salem, NH | Non-Resident Broker | 2485 | Failure to disclose termination by insurance company on DOI license applications | Settlement Agreement: $2,500 Fine; Cease & Desist | 12/18/00 |
| St. Paul Guardian Insurance Company St. Paul, MN | Property / Casualty Company | 3478 | Sale of boiler & machinery coverage without proper license | Settlement Agreement: $18,425 Fine; Cease & Desist | 12/19/00 |
| Midland Life Insurance Company Columbus, OH | Life and Accident & Health Company | 2984G | Paying commission to unlicensed entity | Settlement Agreement: $1,925 Fine; Cease & Desist | 12/28/00 |
| Smallwood, Merrill Quincy, MA | Agent & Broker | 3254 | Paying commission to unlicensed entity | Settlement Agreement: $7,500 fine; Cease & Desist | 12/28/00 |
