The following chart represents a summary of the administrative actions taken against insurance producers and insurance companies by the Division's Enforcement Section between October, 2000 and December, 2000. If you require additional information concerning a particular administrative action, please send your request via e-mail to the Enforcement Email Address.

For each administrative action, please note the following definitions.
 
Licensee NameType of LicenseCase No.Primary Allegation(s)DispositionEffective Date
Joseph P. Law Hudson, NHAgent & Broker2672AFailure to maintain standards of trustworthiness and suitability: Deposited client funds to personal account; Misrepresentation on insurance license applicationsSettlement Agreement: Ten year license revocation; Disposition of interests in insurance business; Cease & Desist10/5/00
Mastors & Servant, Ltd. East Greenwich, RIUnlicensed3412Participating in business of insurance without valid licenseSettlement Agreement: $2,500 fine; Cease & Desist10/10/00
T.J. Dacey, Ltd. East Greenwich, RIUnlicensed3419Participating in business of insurance without valid licenseSettlement Agreement: $2,500 fine; Cease & Desist10/10/00
Narragansett Underwriting Group, Inc. Warren, RIUnlicensed3396Participating in business of insurance without valid licenseSettlement Agreement: Cease & Desist10/10/00
Preston Insurance Alliance Warwick, RIUnlicensed3370Participating in business of insurance without valid licenseSettlement Agreement: Cease & Desist10/2/00
McLane Insurance Agency, Inc. Riverside, RIUnlicensed3410Participating in business of insurance without valid licenseSettlement Agreement: Cease & Desist10/10/00
Caldwell Insurance, Inc. Warwick, RIUnlicensed3406Participating in business of insurance without valid licenseSettlement Agreement: Cease & Desist10/16/00
Mansfield Insurance Agency, Inc. Westerly, RIUnlicensed3394Participating in business of insurance without valid licenseSettlement Agreement: Cease & Desist10/10/00
Maggiacomo Insurance Agency North Providence, RIUnlicensed3382Participating in business of insurance without valid licenseSettlement Agreement: Cease & Desist10/16/00
Richard A. DeBlasio Insurance Agency, Inc. Pawtucket, RIUnlicensed3392Participating in business of insurance without valid licenseSettlement Agreement: Cease & Desist10/16/00
Gates Insurance Agency, Inc. Peace Dale, RIUnlicensed3376Participating in business of insurance without valid licenseSettlement Agreement: Cease & Desist10/16/00
Aloisi Insurance Associates, Inc. Providence, RIUnlicensed3407Participating in business of insurance without valid licenseSettlement Agreement: Cease & Desist10/16/00
Riley Insurance Agency, Inc. Middletown, RIUnlicensed3397Participating in business of insurance without valid licenseSettlement Agreement: Cease & Desist10/16/00
Affiliated Insurance Managers Warwick, RIUnlicensed3398Participating in business of insurance without valid licenseSettlement Agreement: Cease & Desist10/16/00
Universal Insurance North Providence, RIUnlicensed3411Participating in business of insurance without valid licenseSettlement Agreement: Cease & Desist10/16/00
Esten & Richard Agency, Inc. Woonsocket, RIUnlicensed3387Participating in business of insurance without valid licenseSettlement Agreement: Cease & Desist10/16/00
Contractors Insurance Services, Inc. East Providence, RIUnlicensed3403Participating in business of insurance without valid licenseSettlement Agreement: Cease & Desist10/19/00
Harold E. Beaudoin Insurance, Inc. East Providence, RIUnlicensed3402Participating in business of insurance without valid licenseSettlement Agreement: Cease & Desist10/19/00
Herman Lapointe Jr. Insurance Agency Fall River, MAUnlicensed3381Participating in business of insurance without valid licenseSettlement Agreement: Cease & Desist10/20/00
Sharples & Thomas, Ltd. East Providence, RIUnlicensed3404Participating in business of insurance without valid licenseSettlement Agreement: Cease & Desist10/19/00
Donald C. Sarin Lenox, MAAgent3187Failure to maintain standards of trustworthiness & suitability: Revocation of securities license by MA Secretary of StateSettlement Agreement: Permanent license revocation; Disposition of all interests in any insurance business10/25/00
Burns & Cotter, Inc. Providence, RIUnlicensed3393Participating in business of insurance without valid licenseSettlement Agreement: Cease & Desist10/27/00
Barton Insurance Group Cranston, RIUnlicensed3380Participating in business of insurance without valid licenseSettlement Agreement: Cease & Desist10/31/00
Braman & White Newport, RIUnlicensed3384Participating in business of insurance without valid licenseSettlement Agreement: Cease & Desist10/31/00
Gay, John William Duxbury, MAAgent3440Failure to maintain standards of trustworthiness & suitability (failure to report criminal record on 3 MA insurance license applications).Settlement Agreement: $1,500 fine; Cease & Desist11/2/00
J.J. Gilmartin & Son Agency, Inc. Warwick, RIUnlicensed3373Participating in business of insurance without valid licenseSettlement Agreement: Cease & Desist11/2/00
Cres Insurance Services, Inc. San Diego, CAUnlicensed3215AParticipating in the business of insurance without a valid license; RebatingSettlement Agreement: $5,000 fine; Cease & Desist11/10/00
Esten & Richard Agency, Inc. Woonsocket, RIUnlicensed3401Participating in the business of insurance without a valid licenseSettlement Agreement: Cease & Desist11/10/00
Legion Insurance Company Philadelphia, PAProperty / Casualty Company3273Paying commission to unlicensed entitySettlement Agreement: $6,000 fine; Cease & Desist11/17/00
Garrick, Trevor A. Dorchester, MAAgent & Broker3285Failure to remit workers' compensation policy premium to insurance company; failure to place workers' compensation coverage; falsification of insurance documentsSettlement Agreement: 5 year license revocation; Cease & Desist; disposition of all interests in any insurance business11/28/00
North American Company for Life & Health Insurance Chicago, ILLife and Accident & Health Company2751HPaying commission to unlicensed entitySettlement Agreement: $59,500 fine; Cease & Desist; Compliance Program12/4/00
Valley Forge Life Insurance Company Chicago, ILLife / Accident & Health Company2984CPaying commission to unlicensed entitySettlement Agreement: $4,900 Fine; Cease & Desist12/5/00
Breen, Paul R. Needham, MANon-Resident Agent3306Misrepresenting the terms of a homeowners' insurance policySettlement Agreement: $875 Fine; Cease & Desist12/7/00
James W. Devaney Fuel Company West Roxbury, MAUnlicensed3356Unlicensed solicitation of oil tank insuranceSettlement Agreement: $250 Fine; Cease & Desist12/7/00
Lingle, Gail M. Kenilworth, ILNon-Resident Agent3443Failure to maintain standards of trustworthiness & suitability (failure to report IL Insurance Dept. license action on MA license application.)Settlement Agreement: $250 Administrative Assessment; Cease & Desist12/7/00
Zalis, Charles Nelson Hollywood, FLNon-Resident Agent3303Failure to maintain standards of trustworthiness & suitability (failure to report full history of regulatory actions)Settlement Agreement: $1,000 Fine; Cease & Desist12/8/00
First Penn-Pacific Life Insurance Company Schaumburg, ILLife & Accident/Health Company2984FPaying commission to unlicensed entitySettlement Agreement: $5,500 Administrative Assessment; Cease & Desist12/13/00
Security CT Life Insurance Company Avon, CTLife Insurance Company2984IPaying commission to unlicensed entitySettlement Agreement: $175 Administrative Assessment; Cease & Desist12/14/00
Sottile, Frank S. Simsbury, CTNon-Resident Agent & Broker2994Misrepresentation on insurance licenses application; Failure to maintain standards of trustworthiness and suitabilitySettlement Agreement: 10 year license revocation; Cease & Desist; disposition of all interests in any insurance business12/14/00
Warnock, Mary Ann Northampton, MABroker3444Failure 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 VehiclesSettlement Agreement: 10 year license revocation; Disposition of all interests in any insurance business12/14/00
Chaffee, William J. South Hadley, MAProperty / Casualty Broker3444APaying commission to unlicensed entitySettlement Agreement: $1,265 Administrative Assessment; Cease & Desist12/18/00
Banner Life Insurance Company Rockville, MDLife Insurance Company2984EPaying commission to unlicensed entitySettlement Agreement: $175 Administrative Assessment; Cease & Desist12/19/00
Renner, Mary Frances Salem, NHNon-Resident Broker2485Failure to disclose termination by insurance company on DOI license applicationsSettlement Agreement: $2,500 Fine; Cease & Desist12/18/00
St. Paul Guardian Insurance Company St. Paul, MNProperty / Casualty Company3478Sale of boiler & machinery coverage without proper licenseSettlement Agreement: $18,425 Fine; Cease & Desist12/19/00
Midland Life Insurance Company Columbus, OHLife and Accident & Health Company2984GPaying commission to unlicensed entitySettlement Agreement: $1,925 Fine; Cease & Desist12/28/00
Smallwood, Merrill Quincy, MAAgent & Broker3254Paying commission to unlicensed entitySettlement Agreement: $7,500 fine; Cease & Desist12/28/00