Experience

Wisconsin Office of the Commissioner of Insurance (OCI)

• United States
• Government Administration
• 1 - 100 Employee

• Chief Counsel

  • Jan 2023 - Present



State of Wisconsin

• United States
• Government Administration
• 700 & Above Employee

• Attorney

  • Aug 2017 - Jan 2023

  Office of the Commissioner of Insurance• Recently expanded role serving on committees setting national insurance policy at the National Association of Insurance Commissioners (NAIC). Currently focused on insurers’ increasing use of big data and artificial intelligence and the impact on disadvantaged communities.• Provide legal counsel for the State Life Insurance Fund including procurement of third-party actuarial services and software as a service (SaaS).• Prosecuting administrative actions against insurance agents and companies focusing on financial advisor fraud, securities fraud, life insurance suitability, and annuity suitability.Representative cases:• In the matter of Jeffrey S. Nimmow: Successfully prosecuted insurance agent for selling unregistered securities - Woodbridge first position commercial mortgages - to his insurance customers. • In the matter of Blanche Berenzweig: Successfully prosecuted insurance agent for naming herself as the beneficiary on her customer’s annuities. The agent was ordered to return the $1,011,116.31 in proceeds to the consumer’s family and her insurance license was revoked.• In the matter of Mark S. Diamond: Successfully prosecuted insurance agent for unfair marketing practices and the unsuitable replacement of variable annuities. The agent was ordered to pay $130,021.12 in restitution and $147,746.56 in civil forfeitures and his insurance license was revoked. Decision upheld on appeal.• In the matter of Barry Rumpel: Successfully prosecuted insurance agent for unsuitable insurance sales. The agent was ordered to pay $202,340.78 in civil forfeitures and $298,372.74 in restitution and his insurance license was revoked.• In the matter of Timothy S. Bratley: Successfully prosecuted insurance agent/funeral director for predatory conduct against elderly customers. The agent was ordered to pay $37,375 in forfeitures and his insurance license was revoked. Show less

• Attorney

  • Apr 2014 - Aug 2017

  Department of Agriculture, Trade and Consumer Protection • Disciplinary counsel for the Veterinary Examining Board. Managed the transition of the program from the Department of Safety and Professional Services. In the first year of the new program, managed intake and disposition of 119 complaints and negotiated the entry of 19 disciplinary orders.• Served as board counsel for the Agricultural Producer Security Council.• Provided day-to-day legal advice to the Division of Trade and Consumer Protection (3 bureaus, 141 full-time employees).• Drafted permanent and emergency administrative rules regarding fuel standards, underground storage tanks, residential rental practices, and agricultural producer security fee assessments.• Negotiated in-house settlements for violations of Wisconsin Statutes Chapters 98 (Weights and Measures) and 100 (Marketing; Trade Practices) and Wisconsin Administrative Rules Chapters 91 (Selling commodities by weight, measure or count), 124 (Price comparison advertising), 127 (Direct marketing), and 134 (Residential rental practices).• Assist Wisconsin Department of Justice attorneys in the preparation and litigation of cases involving violations of department regulations including prosecutions of owners of abandoned underground storage tanks, electronic communication providers for deficient disclosures, and time-share marketers for unfair trade practices. Show less



SCHLACK ITO, A LIMITED LIABILITY LAW COMPANY

• United States
• Legal Services
• 1 - 100 Employee

• Litigation Associate

  • Feb 2012 - Apr 2014

  Civil litigation in state and federal courts. Civil litigation in state and federal courts.



Legal Aid Society of Hawaii

• United States
• Legal Services
• 1 - 100 Employee

• Attorney

  • Nov 2010 - Feb 2012

  Managed the Affordable Lawyers Project, a statewide fee-for-service project that provides low cost legal services to clients with moderate income. Managed the Affordable Lawyers Project, a statewide fee-for-service project that provides low cost legal services to clients with moderate income.



KOBAYASHI SUGITA & GODA, LLP, A LIMITED LIABILITY LAW PARTNERSHIP

• Litigation Associate

  • Sep 2005 - Mar 2008

  Represented the State of Hawaii Insurance Commissioner as outside counsel in insurance liquidation proceedings. Provided legal advice and representation in other litigation and regulatory matters.

• Law Clerk, extended offer for permanent position

  • May 2004 - Sep 2005