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
- The First National Bank of Eagle RiverOffice of the Comptroller of the Currency records “Formal Agreement” for The First National Bank of Eagle River. The recorded action date is 23 Sep 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- The Chase Manhattan Bank, N.A.Office of the Comptroller of the Currency records “Securities Enforcement Action” for The Chase Manhattan Bank, N.A.. The recorded action date is 5 Oct 1994. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Americana National BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Americana National Bank. The recorded action date is 17 Feb 2004. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Willis, Levi E.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Willis, Levi E.. The recorded action date is 21 Jun 1991.PersonOCC Enforcement Actions
- The First National Bank of HoldregeOffice of the Comptroller of the Currency records “Formal Agreement” for The First National Bank of Holdrege. The recorded action date is 12 Sep 1997. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Switzer, E. W.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Switzer, E. W.. The recorded action date is 6 Aug 1991.PersonOCC Enforcement Actions
- Premier Financial Group, Inc.Office of the Comptroller of the Currency records “Formal Agreement” for Premier Financial Group, Inc.. The recorded action date is 15 Oct 1992. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Goleta National BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Goleta National Bank. The recorded action date is 28 Oct 2002. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- McClean, DavidOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for McClean, David. The recorded action date is 15 Sep 1997.PersonOCC Enforcement Actions
- Phillips, Helen HarrisonOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Phillips, Helen Harrison. The recorded action date is 2 Sep 2005.PersonOCC Enforcement Actions
- Hertz, James L.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Hertz, James L.. The recorded action date is 21 May 2013.PersonOCC Enforcement Actions
- Stuart, Douglas G.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Stuart, Douglas G.. The recorded action date is 23 Feb 1999.PersonOCC Enforcement Actions
- Webb, Kathy AngelaOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Webb, Kathy Angela. The recorded action date is 3 Jan 2017.PersonOCC Enforcement Actions
- Brannan, DavidOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Brannan, David. The recorded action date is 3 Dec 1991.PersonOCC Enforcement Actions
- Banco Pedroso, N.A.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Banco Pedroso, N.A.. The recorded action date is 16 May 1990.OrganizationOCC Enforcement Actions
- Sunflower 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 Sunflower Bank, National Association. The recorded action date is 10 Aug 1999. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Dufur, Alan D.Office of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Dufur, Alan D.. The recorded action date is 12 Aug 1998.PersonOCC Enforcement Actions
- Shattuck National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Shattuck National Bank. The recorded action date is 12 Dec 1991. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Mandel, JudyOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Mandel, Judy. The recorded action date is 4 Jun 1993.PersonOCC Enforcement Actions
- The American National Bank of NashwaukOffice of the Comptroller of the Currency records “Formal Agreement” for The American National Bank of Nashwauk. The recorded action date is 11 Feb 1991. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- National BankOffice of the Comptroller of the Currency records “Formal Agreement” for National Bank. The recorded action date is 22 Apr 2004. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Highsmith, KarenOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Highsmith, Karen. The recorded action date is 27 Aug 2020.PersonOCC Enforcement Actions
- Leal, EduardoOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Leal, Eduardo. The recorded action date is 25 Oct 2017.PersonOCC Enforcement Actions
- Cooper, LindaOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Cooper, Linda. The recorded action date is 1 Mar 2012.PersonOCC Enforcement Actions
- Douglas, DentonOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Douglas, Denton. The recorded action date is 8 Jan 2021.PersonOCC Enforcement Actions
- Putnam BankOffice of the Comptroller of the Currency records “Formal Agreement” for Putnam Bank. The recorded action date is 20 Jun 2012. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- The Citizens National Bank of BlufftonOffice of the Comptroller of the Currency records “Formal Agreement” for The Citizens National Bank of Bluffton. The recorded action date is 12 Jul 2000. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Curry, Lance A.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Curry, Lance A.. The recorded action date is 10 Aug 2007.PersonOCC Enforcement Actions
- Southbank, A Federal Savings BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Southbank, A Federal Savings Bank. The recorded action date is 19 Nov 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Ward, WayneOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Ward, Wayne. The recorded action date is 25 Mar 1996.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.