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
- Smith, James EarlOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Smith, James Earl. The recorded action date is 4 Apr 2003.PersonOCC Enforcement Actions
- Munroe, SamuelOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Munroe, Samuel. The recorded action date is 12 Dec 2005.PersonOCC Enforcement Actions
- Gray, Vernon StellOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Gray, Vernon Stell. The recorded action date is 24 Oct 2000.PersonOCC Enforcement Actions
- The Peoples National Bank Of WarrentonOffice of the Comptroller of the Currency records “Formal Agreement” for The Peoples National Bank Of Warrenton. The recorded action date is 15 Oct 1991. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Niemeyer, Harry W.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Niemeyer, Harry W.. The recorded action date is 1 Mar 1990.PersonOCC Enforcement Actions
- Nova, JorgeOffice of the Comptroller of the Currency records “1829 Prohibition Notification” for Nova, Jorge. The recorded action date is 13 Jan 2026.PersonOCC Enforcement Actions
- Munoz, DavidOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Munoz, David. The recorded action date is 4 Dec 1996.PersonOCC Enforcement Actions
- Traba, Michael P.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Traba, Michael P.. The recorded action date is 1 May 1999.PersonOCC Enforcement Actions
- Monegro, DavidOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Monegro, David. The recorded action date is 13 Oct 2020.PersonOCC Enforcement Actions
- Lincoln National Bank and Trust Company of Fort WayneOffice of the Comptroller of the Currency records “Formal Agreement” for Lincoln National Bank and Trust Company of Fort Wayne. The recorded action date is 16 Jun 1992. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Barrera, JessOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Barrera, Jess. The recorded action date is 7 Jun 1993.PersonOCC Enforcement Actions
- Independence 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 Independence Federal Savings Bank. The recorded action date is 27 Aug 2012. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- United Mercantile Bank And TrustOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for United Mercantile Bank And Trust. The recorded action date is 22 Jan 1991.OrganizationOCC Enforcement Actions
- Community National Bank of Sarasota CountyOffice of the Comptroller of the Currency records “Prompt Corrective Action (PCA) Directive” for Community National Bank of Sarasota County. The recorded action date is 3 Jun 2009. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- United Arizona Bank, National AssociationOffice of the Comptroller of the Currency records “Formal Agreement” for United Arizona Bank, National Association. The recorded action date is 20 Nov 2003. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- The Upstate National BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for The Upstate National Bank. The recorded action date is 22 Mar 2002. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Frederick, Joseph B.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Frederick, Joseph B.. The recorded action date is 8 Jun 2005.PersonOCC Enforcement Actions
- Cornerstone Mortgage CompanyOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Cornerstone Mortgage Company. The recorded action date is 7 Aug 2006.OrganizationOCC Enforcement Actions
- Vast 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 Vast Bank, National Association. The recorded action date is 23 Oct 2023. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Schatzman, MarvinOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Schatzman, Marvin. The recorded action date is 4 Oct 2001.PersonOCC Enforcement Actions
- First 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 First Bank National Association. The recorded action date is 30 Aug 1989. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Bank South, National AssociationOffice of the Comptroller of the Currency records “Formal Agreement” for Bank South, National Association. The recorded action date is 16 Aug 1991. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- The First National Bank Of FreemanOffice of the Comptroller of the Currency records “Formal Agreement” for The First National Bank Of Freeman. The recorded action date is 14 Jul 2000. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- First National Bank of Cass Lake, TheOffice of the Comptroller of the Currency records “Formal Agreement” for First National Bank of Cass Lake, The. The recorded action date is 5 Oct 2000. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Nguyen, Bien C.Office of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Nguyen, Bien C.. The recorded action date is 3 Dec 2002.PersonOCC Enforcement Actions
- Forrest City Bank, National AssociationOffice of the Comptroller of the Currency records “Formal Agreement” for Forrest City Bank, National Association. The recorded action date is 17 Feb 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Serlo, LarryOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Serlo, Larry. The recorded action date is 12 Jan 2011.PersonOCC Enforcement Actions
- North Georgia National BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for North Georgia National Bank. The recorded action date is 17 Jul 2013. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Texas 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 Texas First National Bank. The recorded action date is 28 Jan 1991. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- T Bank, National AssociationOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for T Bank, National Association. The recorded action date is 15 Apr 2010.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.