US OCC Enforcement Actions
Published OCC enforcement actions involving institutions, companies, and individuals.
Source availability
Available for screening
6,071 source records are available in the current dataset.
Records can overlap across lists; this is not a count of unique people or organizations.
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- Our refresh schedule
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Data overview
OCC Enforcement Actions is published by Office of the Comptroller of the Currency.
The available version contains 6,071 source records before any name search.
The entity-type breakdown is 3,361 people and 2,710 organizations.
- Source records
- 6,071
- Publicly browsable records
- 6,071
- Entity types present
- 2
Record types and how to read these counts
Records by entity type
- People
- 3,361
- Organizations
- 2,710
- Other / unspecified
- 0
What these numbers mean
Counts describe this source’s current available records, before any name search. Records can overlap within and across lists. They are not counts of unique entities.
Publicly browsable records are the portion available in the public directory. A record’s presence does not by itself establish an active sanction.
Organizations include companies and other bodies. Other / unspecified means the source record has no more specific supported type.
What this source covers
The official export includes action types, start dates, termination dates, document references, amounts, and subject matters. It includes historical and terminated actions and is not guaranteed comprehensive. Certain pre-December 23, 2022 prohibition notifications are excluded by the publisher, and older OTS actions are in a separate archive.
Distinguish the action from its current effect
An enforcement action is not automatically a financial sanction or an ongoing prohibition. Consult the original order and current OCC search for its scope, modification, and termination. Exact termination dates end current screening eligibility; missing or N/A dates remain explicitly uncertain. Inconsistent publisher dates are preserved and flagged.
- Read the stated action type and procedural status.
- Check the decision, dates and later amendments.
- Keep different orders about the same named party distinct.
Public source records
- Prusia, Scott R.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Prusia, Scott R.. The recorded action date is 5 Oct 2010.PersonOCC Enforcement Actions
- Francis, CatherineOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Francis, Catherine. The recorded action date is 13 Dec 2018.PersonOCC Enforcement Actions
- Vincek, James A.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Vincek, James A.. The recorded action date is 26 Nov 2018.PersonOCC Enforcement Actions
- Carpinella, Ralph H.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Carpinella, Ralph H.. The recorded action date is 15 Apr 1993.PersonOCC Enforcement Actions
- Bay Cities National BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Bay Cities National Bank. The recorded action date is 18 Nov 2009. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Dear, MarshallOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Dear, Marshall. The recorded action date is 9 Jun 1995.PersonOCC Enforcement Actions
- Roberts, DanielOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Roberts, Daniel. The recorded action date is 10 Apr 2018.PersonOCC Enforcement Actions
- Costalas, Constantinos I.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Costalas, Constantinos I.. The recorded action date is 13 Oct 1995.PersonOCC Enforcement Actions
- McMahan, Joanne S.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for McMahan, Joanne S.. The recorded action date is 17 Nov 1994.PersonOCC Enforcement Actions
- Moreno, RogelioOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Moreno, Rogelio. The recorded action date is 27 May 1992.PersonOCC Enforcement Actions
- Moser, Charles C.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Moser, Charles C.. The recorded action date is 20 Dec 2005.PersonOCC Enforcement Actions
- Doig, GordonOffice of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Doig, Gordon. The recorded action date is 25 Mar 1991.PersonOCC Enforcement Actions
- Guerra, Veronica D.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Guerra, Veronica D.. The recorded action date is 7 Sep 2010.PersonOCC Enforcement Actions
- Bmo Harris Bank National AssociationOffice of the Comptroller of the Currency records “Formal Agreement” for Bmo Harris Bank National Association. The recorded action date is 29 Apr 2013. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Johnson, T.RyanOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Johnson, T.Ryan. The recorded action date is 1 Dec 2016.PersonOCC Enforcement Actions
- First Niagara Bank, National AssociationOffice of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for First Niagara Bank, National Association. The recorded action date is 6 Sep 2016.OrganizationOCC Enforcement Actions
- Cenlar FSBOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Cenlar FSB. The recorded action date is 26 Oct 2021. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Moseri, OnyeacholemOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Moseri, Onyeacholem. The recorded action date is 30 Mar 2006.PersonOCC Enforcement Actions
- Wells Fargo Bank, National AssociationOffice of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Wells Fargo Bank, National Association. The recorded action date is 28 Feb 2013.OrganizationOCC Enforcement Actions
- First National Bank of PlattevilleOffice of the Comptroller of the Currency records “Formal Agreement” for First National Bank of Platteville. The recorded action date is 25 Nov 2008. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Cai, YinziOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Cai, Yinzi. The recorded action date is 2 Aug 2005.PersonOCC Enforcement Actions
- First Niagara Bank, National AssociationOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for First Niagara Bank, National Association. The recorded action date is 26 Oct 2011.OrganizationOCC Enforcement Actions
- California National BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for California National Bank. The recorded action date is 22 Jan 1993. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Avery, Mickey M.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Avery, Mickey M.. The recorded action date is 6 Nov 1990.PersonOCC Enforcement Actions
- First Suburban National BankOffice of the Comptroller of the Currency records “Formal Agreement” for First Suburban National Bank. The recorded action date is 17 May 1999. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Troutman, G. RaifordOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Troutman, G. Raiford. The recorded action date is 22 Jul 1994.PersonOCC Enforcement Actions
- Nejaime, NormanOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Nejaime, Norman. The recorded action date is 15 Dec 1995.PersonOCC Enforcement Actions
- Redemann, JamesOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Redemann, James. The recorded action date is 24 Aug 1999.PersonOCC Enforcement Actions
- McElroy, Robert D.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for McElroy, Robert D.. The recorded action date is 20 Jan 2010.PersonOCC Enforcement Actions
- Chuang, ThomasOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Chuang, Thomas. The recorded action date is 9 Jan 1997.PersonOCC Enforcement Actions
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Questions about US OCC Enforcement Actions
Who publishes US OCC Enforcement Actions?
The catalog identifies Office of the Comptroller of the Currency as the publisher in United States. Open the publisher reference. SanctionsKit’s source profile is separate from that publisher’s original records and notices.
Can I select US OCC Enforcement Actions for screening?
The current source snapshot marks US OCC Enforcement Actions as available for screening. Select its source ID, us-occ-enforcement, when your policy requires it. Check availability again when you run a request. This status does not by itself grant public browsing or export rights.
Can I browse current US OCC Enforcement Actions records here?
Current public records from US OCC Enforcement Actions can be browsed here. The current source contains 6,071 records. This counts source records, not distinct people, companies or assets. An empty name search is not a completed screening check.
May I reuse or export US OCC Enforcement Actions records?
Access to US OCC Enforcement Actions does not grant every right to copy, export or redistribute it. Read the source reuse terms and the attribution notice for the version you use. A public record page or working screening integration is not an export permission. Follow the conditions that apply to your intended use.
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Source discovery reference: OpenSanctions source catalog, captured . Import and record counts above come from SanctionsKit.