Iowa Code 523A.807 – Prosecution for violations of law
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Terms Used In Iowa Code 523A.807
- Evidence: Information presented in testimony or in documents that is used to persuade the fact finder (judge or jury) to decide the case for one side or the other.
- following: when used by way of reference to a chapter or other part of a statute mean the next preceding or next following chapter or other part. See Iowa Code 4.1
- Internet: means the federated international system that is composed of allied electronic communication networks linked by telecommunication channels, that uses standardized protocols, and that facilitates electronic communication services, including but not limited to use of the world wide web; the transmission of electronic mail or messages; the transfer of files and data or other electronic information; and the transmission of voice, image, and video. See Iowa Code 4.1
- person: means individual, corporation, limited liability company, government or governmental subdivision or agency, business trust, estate, trust, partnership or association, or any other legal entity. See Iowa Code 4.1
- Rule: includes "regulation". See Iowa Code 4.1
- state: when applied to the different parts of the United States, includes the District of Columbia and the territories, and the words "United States" may include the said district and territories. See Iowa Code 4.1
523A.807 Prosecution for violations of law.
1. A violation of this chapter or rules adopted or orders issued under this chapter is
a violation of § 714.16, subsection 2, paragraph “”a””. The remedies and penalties provided by § 714.16, including but not limited to injunctive relief and penalties, apply to violations of this chapter.
2. If the commissioner believes that grounds exist for the criminal prosecution of persons subject to this chapter for violations of this chapter or any other law of this state, the commissioner may forward to the attorney general or the county attorney the grounds for the belief, including all evidence in the commissioner’s possession, so that the attorney general or the county attorney may proceed with the matter as deemed appropriate.
3. If the commissioner finds that a person has violated § 523A.201, 523A.202,
523A.203, 523A.204, 523A.207, 523A.401, 523A.402, 523A.403, 523A.404, 523A.405,
523A.501, 523A.502, 523A.502A, 523A.505, or 523A.605, or any rule adopted pursuant thereto, the commissioner may order any or all of the following:
a. Payment of a civil penalty of not more than one thousand dollars for each violation, but not exceeding an aggregate of ten thousand dollars during any six-month period, except that if the commissioner finds that the person knew or reasonably should have known that the person was in violation of such provisions or rules adopted pursuant thereto, the penalty shall be not more than five thousand dollars for each violation, but not exceeding an aggregate of fifty thousand dollars during any six-month period. The commissioner shall assess the penalty on the employer of an individual and not on the individual, if the commissioner finds that the violations committed by the individual were directed, encouraged, condoned, ignored, or ratified by the individual’s employer. Any civil penalties collected under this subsection shall be deposited as provided in § 505.7.
b. Issuance of an order prohibiting the person committing a violation from selling funeral merchandise, cemetery merchandise, funeral services, or a combination thereof, and from managing, operating, or otherwise exercising control over any business entity that is subject to regulation under this chapter or chapter 523I. A person who has been named in such an order may contest the order by filing a request for a contested case proceeding as provided in chapter 17A and in accordance with rules adopted by the commissioner. The commissioner may, pursuant to chapter 17A, deny any application filed under § 523A.501 or 523A.502 if the applicant, or an officer, director, or owner of the applicant, is named in a final order issued pursuant to this subsection.
4. The commissioner shall post on the internet site of the division of insurance of the department of insurance and financial services a list of all persons licensed under this chapter and an index of orders issued by the commissioner pertaining to such persons.
2001 Acts, ch 118, §47; 2007 Acts, ch 175, §29; 2008 Acts, ch 1123, §52; 2009 Acts, ch 181,
§96; 2010 Acts, ch 1121, §28; 2013 Acts, ch 90, §257; 2015 Acts, ch 128, §44, 50, 51; 2016 Acts, ch 1073, §159; 2021 Acts, ch 181, §41; 2022 Acts, ch 1047, §7; 2023 Acts, ch 19, §2738
Referred to in §523A.503
Subsection 4 amended
1. A violation of this chapter or rules adopted or orders issued under this chapter is
a violation of § 714.16, subsection 2, paragraph “”a””. The remedies and penalties provided by § 714.16, including but not limited to injunctive relief and penalties, apply to violations of this chapter.
2. If the commissioner believes that grounds exist for the criminal prosecution of persons subject to this chapter for violations of this chapter or any other law of this state, the commissioner may forward to the attorney general or the county attorney the grounds for the belief, including all evidence in the commissioner’s possession, so that the attorney general or the county attorney may proceed with the matter as deemed appropriate.
3. If the commissioner finds that a person has violated § 523A.201, 523A.202,
523A.203, 523A.204, 523A.207, 523A.401, 523A.402, 523A.403, 523A.404, 523A.405,
523A.501, 523A.502, 523A.502A, 523A.505, or 523A.605, or any rule adopted pursuant thereto, the commissioner may order any or all of the following:
a. Payment of a civil penalty of not more than one thousand dollars for each violation, but not exceeding an aggregate of ten thousand dollars during any six-month period, except that if the commissioner finds that the person knew or reasonably should have known that the person was in violation of such provisions or rules adopted pursuant thereto, the penalty shall be not more than five thousand dollars for each violation, but not exceeding an aggregate of fifty thousand dollars during any six-month period. The commissioner shall assess the penalty on the employer of an individual and not on the individual, if the commissioner finds that the violations committed by the individual were directed, encouraged, condoned, ignored, or ratified by the individual’s employer. Any civil penalties collected under this subsection shall be deposited as provided in § 505.7.
b. Issuance of an order prohibiting the person committing a violation from selling funeral merchandise, cemetery merchandise, funeral services, or a combination thereof, and from managing, operating, or otherwise exercising control over any business entity that is subject to regulation under this chapter or chapter 523I. A person who has been named in such an order may contest the order by filing a request for a contested case proceeding as provided in chapter 17A and in accordance with rules adopted by the commissioner. The commissioner may, pursuant to chapter 17A, deny any application filed under § 523A.501 or 523A.502 if the applicant, or an officer, director, or owner of the applicant, is named in a final order issued pursuant to this subsection.
4. The commissioner shall post on the internet site of the division of insurance of the department of insurance and financial services a list of all persons licensed under this chapter and an index of orders issued by the commissioner pertaining to such persons.
2001 Acts, ch 118, §47; 2007 Acts, ch 175, §29; 2008 Acts, ch 1123, §52; 2009 Acts, ch 181,
§96; 2010 Acts, ch 1121, §28; 2013 Acts, ch 90, §257; 2015 Acts, ch 128, §44, 50, 51; 2016 Acts, ch 1073, §159; 2021 Acts, ch 181, §41; 2022 Acts, ch 1047, §7; 2023 Acts, ch 19, §2738
Referred to in §523A.503
Subsection 4 amended