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
- Department Stores National BankOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Department Stores National Bank. The recorded action date is 20 Jul 2015.OrganizationOCC Enforcement Actions
- Asian American National BankOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Asian American National Bank. The recorded action date is 24 Mar 1993.OrganizationOCC Enforcement Actions
- Estes, HaroldOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Estes, Harold. The recorded action date is 2 Aug 2000.PersonOCC Enforcement Actions
- First National Bank in FairfieldOffice 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 in Fairfield. The recorded action date is 21 Oct 2019. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Unity National Bank Of HoustonOffice of the Comptroller of the Currency records “Formal Agreement” for Unity National Bank Of Houston. The recorded action date is 29 Apr 1991. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- First National Bank of TullahomaOffice of the Comptroller of the Currency records “Formal Agreement” for First National Bank of Tullahoma. The recorded action date is 15 Mar 2005. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Kinney, Gregg A.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Kinney, Gregg A.. The recorded action date is 22 Aug 1989.PersonOCC Enforcement Actions
- Williamsburg First National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Williamsburg First National Bank. The recorded action date is 14 Oct 2009. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Phelps, KurtOffice of the Comptroller of the Currency records “1829 Prohibition Notification” for Phelps, Kurt. The recorded action date is 10 Apr 2024.PersonOCC Enforcement Actions
- Kentland FS & LAOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Kentland FS & LA. The recorded action date is 10 Apr 2023. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Garner, JoanOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Garner, Joan. The recorded action date is 20 Feb 1996.PersonOCC Enforcement Actions
- Murphy, WilliamOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Murphy, William. The recorded action date is 30 May 2013.PersonOCC Enforcement Actions
- Hauck, JamesOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Hauck, James. The recorded action date is 26 Feb 1991.PersonOCC Enforcement Actions
- Oliver, Jerry E.Office of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Oliver, Jerry E.. The recorded action date is 25 Oct 2006.PersonOCC Enforcement Actions
- Capital One, National AssociationOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Capital One, National Association. The recorded action date is 10 Jul 2015. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Commerce National BankOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Commerce National Bank. The recorded action date is 26 Apr 2005.OrganizationOCC Enforcement Actions
- Lloyd, Sandra G.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Lloyd, Sandra G.. The recorded action date is 24 Oct 1989.PersonOCC Enforcement Actions
- Mobley, Micah J.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Mobley, Micah J.. The recorded action date is 15 Jun 2006.PersonOCC Enforcement Actions
- Adams, Hollis E. (Eddie)Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Adams, Hollis E. (Eddie). The recorded action date is 6 Jan 1992.PersonOCC Enforcement Actions
- First National Bank of Boston, TheOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for First National Bank of Boston, The. The recorded action date is 15 Jan 1992.OrganizationOCC Enforcement Actions
- Lapidus, AlvinOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Lapidus, Alvin. The recorded action date is 18 May 2012.PersonOCC Enforcement Actions
- Todd, RobertOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Todd, Robert. The recorded action date is 17 Sep 2009.PersonOCC Enforcement Actions
- Soukup, James R.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Soukup, James R.. The recorded action date is 1 Nov 1991.PersonOCC Enforcement Actions
- Cherry, Billie J.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Cherry, Billie J.. The recorded action date is 8 Dec 1998.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 6 Sep 2016.OrganizationOCC Enforcement Actions
- Jie, Li ChuanOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Jie, Li Chuan. The recorded action date is 3 Sep 2002.PersonOCC Enforcement Actions
- Gonzalez, JorgeOffice of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Gonzalez, Jorge. The recorded action date is 8 Apr 1992.PersonOCC Enforcement Actions
- First National BankOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for First National Bank. The recorded action date is 2 Apr 1992.OrganizationOCC Enforcement Actions
- McKnight, Jim L.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for McKnight, Jim L.. The recorded action date is 26 Sep 2005.PersonOCC Enforcement Actions
- American National BankOffice of the Comptroller of the Currency records “Formal Agreement” for American National Bank. The recorded action date is 22 Feb 2011. This source entry is excluded from current screening matches.OrganizationOCC 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.