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
- JPMorgan Chase Bank, National AssociationOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for JPMorgan Chase Bank, National Association. The recorded action date is 4 Jan 2016.OrganizationOCC Enforcement Actions
- Reed, RobertOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Reed, Robert. The recorded action date is 17 May 1990.PersonOCC Enforcement Actions
- Aurora Bank FSBOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Aurora Bank FSB. The recorded action date is 30 Nov 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Union Bank, National AssociationOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Union Bank, National Association. The recorded action date is 14 Aug 2008. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Hardy, AlanOffice of the Comptroller of the Currency records “1829 Prohibition Notification” for Hardy, Alan. The recorded action date is 15 Dec 2025.PersonOCC Enforcement Actions
- Allen, PiaOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Allen, Pia. The recorded action date is 27 Sep 1996.PersonOCC Enforcement Actions
- Garner, GeraldOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Garner, Gerald. The recorded action date is 20 Feb 1996.PersonOCC Enforcement Actions
- First National BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for First National Bank. The recorded action date is 8 Feb 2011. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Wolford, LisaOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Wolford, Lisa. The recorded action date is 17 Feb 2004.PersonOCC Enforcement Actions
- Bryant, KyleOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Bryant, Kyle. The recorded action date is 29 Nov 2010.PersonOCC Enforcement Actions
- Mooney, Norman J.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Mooney, Norman J.. The recorded action date is 10 Nov 1992.PersonOCC Enforcement Actions
- The First National Bank in TremontOffice of the Comptroller of the Currency records “Formal Agreement” for The First National Bank in Tremont. The recorded action date is 16 Dec 2008. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- HSBC Bank USA, National AssociationOffice of the Comptroller of the Currency records “GLBA Agreement” for HSBC Bank USA, National Association. The recorded action date is 11 Dec 2012. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- First Charter Bank N.A.Office of the Comptroller of the Currency records “Formal Agreement” for First Charter Bank N.A.. The recorded action date is 28 Feb 1992. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Goodwin, Barbara B.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Goodwin, Barbara B.. The recorded action date is 9 Nov 2009.PersonOCC Enforcement Actions
- Worthington Federal BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Worthington Federal Bank. The recorded action date is 5 Dec 2012. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Duncan, GlenOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Duncan, Glen. The recorded action date is 1 Oct 1991.PersonOCC Enforcement Actions
- Mission National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Mission National Bank. The recorded action date is 25 Jun 1992. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Columbia National BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Columbia National Bank. The recorded action date is 16 Jul 1991. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Union Bank Of Arizona, NaOffice of the Comptroller of the Currency records “Formal Agreement” for Union Bank Of Arizona, Na. The recorded action date is 28 Jun 2001. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Thompson, PaulOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Thompson, Paul. The recorded action date is 21 Dec 1992.PersonOCC Enforcement Actions
- Commercial Bank of Kuwait S.A.K.Office of the Comptroller of the Currency records “Formal Agreement” for Commercial Bank of Kuwait S.A.K.. The recorded action date is 9 Nov 1999. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Home Savings BankOffice of the Comptroller of the Currency records “Formal Agreement” for Home Savings Bank. The recorded action date is 9 Aug 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Yates, WilburOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Yates, Wilbur. The recorded action date is 25 Jun 1990.PersonOCC Enforcement Actions
- U.S. Bank National AssociationOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for U.S. Bank National Association. The recorded action date is 15 Feb 2018.OrganizationOCC Enforcement Actions
- Capital One, National AssociationOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Capital One, National Association. The recorded action date is 23 Oct 2018.OrganizationOCC Enforcement Actions
- Donoso, HernanOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Donoso, Hernan. The recorded action date is 14 Apr 2005.PersonOCC Enforcement Actions
- Riverview Community BankOffice of the Comptroller of the Currency records “Formal Agreement” for Riverview Community Bank. The recorded action date is 25 Jan 2012. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Ellis, Allen R.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Ellis, Allen R.. The recorded action date is 1 Jun 2010.PersonOCC Enforcement Actions
- Faccenda, AileenOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Faccenda, Aileen. The recorded action date is 19 Jan 2007.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.