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
- Montiel, Jose R.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Montiel, Jose R.. The recorded action date is 4 Jun 1993.PersonOCC Enforcement Actions
- Frisbie, Michelle L.Office of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Frisbie, Michelle L.. The recorded action date is 9 May 2006.PersonOCC Enforcement Actions
- Sterling Bank and Trust, FSBOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Sterling Bank and Trust, FSB. The recorded action date is 27 Sep 2022.OrganizationOCC Enforcement Actions
- Amory FS & LAOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Amory FS & LA. The recorded action date is 3 Apr 2015.OrganizationOCC Enforcement Actions
- The University National Bank of LawrenceOffice of the Comptroller of the Currency records “Formal Agreement” for The University National Bank of Lawrence. The recorded action date is 27 May 2009. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Gibbs, Donald G.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Gibbs, Donald G.. The recorded action date is 9 Apr 1992.PersonOCC Enforcement Actions
- Wells Fargo Bank, National AssociationOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Wells Fargo Bank, National Association. The recorded action date is 6 Sep 2016.OrganizationOCC Enforcement Actions
- Hogg, MattOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Hogg, Matt. The recorded action date is 7 Jun 2004.PersonOCC Enforcement Actions
- Anand, ShanOffice of the Comptroller of the Currency records “1829 Prohibition Notification” for Anand, Shan. The recorded action date is 17 Sep 2026.PersonOCC Enforcement Actions
- Shara, MichaelOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Shara, Michael. The recorded action date is 23 Jun 2020.PersonOCC Enforcement Actions
- Suliburk, WilliamOffice of the Comptroller of the Currency records “Securities Enforcement Action” for Suliburk, William. The recorded action date is 9 Nov 1992. This source entry is excluded from current screening matches.PersonOCC Enforcement Actions
- Cammarata, William C.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Cammarata, William C.. The recorded action date is 1 Mar 2000.PersonOCC Enforcement Actions
- JPMorgan Chase 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 JPMorgan Chase Bank, National Association. The recorded action date is 16 Jun 2015. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Overby, Archie G.Office of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Overby, Archie G.. The recorded action date is 24 Mar 2017.PersonOCC Enforcement Actions
- Thomas, Richard M.Office of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Thomas, Richard M.. The recorded action date is 24 Nov 2003.PersonOCC Enforcement Actions
- Sweeney, RobertOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Sweeney, Robert. The recorded action date is 12 Jul 2022.PersonOCC Enforcement Actions
- The Somerville National BankOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for The Somerville National Bank. The recorded action date is 29 May 2014.OrganizationOCC Enforcement Actions
- Nebraska National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Nebraska National Bank. The recorded action date is 14 Oct 1999. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Janini, Angela L.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Janini, Angela L.. The recorded action date is 14 Jun 2016.PersonOCC Enforcement Actions
- Malabed, Leonilo L.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Malabed, Leonilo L.. The recorded action date is 22 Oct 1993.PersonOCC Enforcement Actions
- Claritybank.Com, N.A.Office of the Comptroller of the Currency records “Formal Agreement” for Claritybank.Com, N.A.. The recorded action date is 20 Sep 2001. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- The Canaan National BankOffice of the Comptroller of the Currency records “Formal Agreement” for The Canaan National Bank. The recorded action date is 19 Mar 1991. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Bank of Brenham, National AssociationOffice of the Comptroller of the Currency records “Notice of Charges” for Bank of Brenham, National Association. The recorded action date is 20 Dec 2023. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Miller, Lisa M.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Miller, Lisa M.. The recorded action date is 7 Dec 2005.PersonOCC Enforcement Actions
- Sangster, ChristopherOffice of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Sangster, Christopher. The recorded action date is 17 May 2021.PersonOCC Enforcement Actions
- Sovereign 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 Sovereign Bank, National Association. The recorded action date is 28 Feb 2013. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Advanta National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Advanta National Bank. The recorded action date is 28 Feb 2001. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Garrison, W. GeneOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Garrison, W. Gene. The recorded action date is 13 May 1992.PersonOCC Enforcement Actions
- Kenneally, Bernard P.Office of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Kenneally, Bernard P.. The recorded action date is 2 Apr 2004.PersonOCC Enforcement Actions
- National Bank Of Grand PrairieOffice of the Comptroller of the Currency records “Formal Agreement” for National Bank Of Grand Prairie. The recorded action date is 14 Apr 1992. 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.