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
- Anzalone, JonoOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Anzalone, Jono. The recorded action date is 3 Dec 2007.PersonOCC Enforcement Actions
- Wilson, Pamellia G.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Wilson, Pamellia G.. The recorded action date is 15 Aug 2011.PersonOCC Enforcement Actions
- Russ Anderson, ClaudiaOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Russ Anderson, Claudia. The recorded action date is 14 Jan 2025. This source entry is excluded from current screening matches.PersonOCC Enforcement Actions
- HSBC Bank USA, National AssociationOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for HSBC Bank USA, National Association. The recorded action date is 28 Feb 2013. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Bremer Bank, N.A.Office of the Comptroller of the Currency records “Formal Agreement” for Bremer Bank, N.A.. The recorded action date is 12 Nov 1999. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Mariel, Serafin U.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Mariel, Serafin U.. The recorded action date is 19 Dec 2005.PersonOCC Enforcement Actions
- Donahue, Patrick M.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Donahue, Patrick M.. The recorded action date is 22 Sep 2004.PersonOCC Enforcement Actions
- First National Bank And TrustOffice of the Comptroller of the Currency records “Formal Agreement” for First National Bank And Trust. The recorded action date is 9 Apr 1993. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Turney, Thomas E.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Turney, Thomas E.. The recorded action date is 16 Aug 1999.PersonOCC Enforcement Actions
- Jeatran, Stephen J.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Jeatran, Stephen J.. The recorded action date is 15 Jul 1992.PersonOCC Enforcement Actions
- Brown II, EdwinOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Brown II, Edwin. The recorded action date is 14 Nov 1990.PersonOCC Enforcement Actions
- Whitney National Bank In St. TammanyOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Whitney National Bank In St. Tammany. The recorded action date is 30 Jan 1990.OrganizationOCC Enforcement Actions
- HSBC Bank USA, National AssociationOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for HSBC Bank USA, National Association. The recorded action date is 6 Jan 2017.OrganizationOCC Enforcement Actions
- Conner, Kathryn S.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Conner, Kathryn S.. The recorded action date is 9 Dec 1996.PersonOCC Enforcement Actions
- Stull, BrianOffice of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Stull, Brian. The recorded action date is 4 Nov 2004.PersonOCC Enforcement Actions
- Romero, Luis A.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Romero, Luis A.. The recorded action date is 19 Jan 2005.PersonOCC Enforcement Actions
- Schmidt, J. GeneOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Schmidt, J. Gene. The recorded action date is 8 Jul 2004.PersonOCC Enforcement Actions
- Stephens, MarkOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Stephens, Mark. The recorded action date is 7 May 1990.PersonOCC Enforcement Actions
- Bevans, LawaiiOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Bevans, Lawaii. The recorded action date is 18 Jan 2000.PersonOCC Enforcement Actions
- Galloni, DavidOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Galloni, David. The recorded action date is 13 Oct 2020.PersonOCC Enforcement Actions
- Wachovia Bank, National AssociationOffice of the Comptroller of the Currency records “Formal Agreement” for Wachovia Bank, National Association. The recorded action date is 24 Apr 2008. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Winston, John StevenOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Winston, John Steven. The recorded action date is 1 Dec 1993.PersonOCC Enforcement Actions
- Zhao, Yi YiOffice of the Comptroller of the Currency records “Suspension Order for Criminal Conduct” for Zhao, Yi Yi. The recorded action date is 8 Jun 2012. This source entry is excluded from current screening matches.PersonOCC Enforcement Actions
- Ruby Valley National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Ruby Valley National Bank. The recorded action date is 12 Jun 2013. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Brown, Roger A.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Brown, Roger A.. The recorded action date is 7 Feb 2014.PersonOCC Enforcement Actions
- Martin, Thomas W.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Martin, Thomas W.. The recorded action date is 14 Dec 1990.PersonOCC Enforcement Actions
- Home National BankOffice of the Comptroller of the Currency records “Prompt Corrective Action (PCA) Directive” for Home National Bank. The recorded action date is 11 May 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Bolton-Johnson, SchrondaOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Bolton-Johnson, Schronda. The recorded action date is 18 Aug 1998.PersonOCC Enforcement Actions
- Contreras, KarenOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Contreras, Karen. The recorded action date is 5 Nov 2018.PersonOCC Enforcement Actions
- Lipscomb, Tiffany D. (Holt)Office of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Lipscomb, Tiffany D. (Holt). The recorded action date is 23 May 2006.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.