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
- Bransford, Tom N.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Bransford, Tom N.. The recorded action date is 17 Nov 1999.PersonOCC Enforcement Actions
- Moll, David L.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Moll, David L.. The recorded action date is 11 Sep 1989.PersonOCC Enforcement Actions
- Tijerina, LouisOffice of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Tijerina, Louis. The recorded action date is 10 Mar 1994.PersonOCC Enforcement Actions
- Central FS & LA of ChicagoOffice of the Comptroller of the Currency records “Formal Agreement” for Central FS & LA of Chicago. The recorded action date is 21 Jun 2012. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Red Mountain Bank, National AssociationOffice of the Comptroller of the Currency records “Formal Agreement” for Red Mountain Bank, National Association. The recorded action date is 27 Mar 2009. This source entry is excluded from current screening matches.OrganizationOCC 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 6 Oct 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Fullerton, TimothyOffice of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Fullerton, Timothy. The recorded action date is 1 Aug 2006.PersonOCC Enforcement Actions
- First Federal BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for First Federal Bank. The recorded action date is 18 Oct 2012. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Debs, John F.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Debs, John F.. The recorded action date is 1 Oct 1992.PersonOCC Enforcement Actions
- American National Bank of MinnesotaOffice of the Comptroller of the Currency records “Formal Agreement” for American National Bank of Minnesota. The recorded action date is 20 Aug 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Howard, RaymondOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Howard, Raymond. The recorded action date is 21 Feb 1990.PersonOCC Enforcement Actions
- Southwest Securities, FSBOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Southwest Securities, FSB. The recorded action date is 4 Feb 2011. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- First National Community BankOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for First National Community Bank. The recorded action date is 27 Feb 2015.OrganizationOCC Enforcement Actions
- Hampton, Carole A.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Hampton, Carole A.. The recorded action date is 9 Oct 1995.PersonOCC Enforcement Actions
- Arpajian, MelineOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Arpajian, Meline. The recorded action date is 29 Oct 2004.PersonOCC Enforcement Actions
- Runde, Charles J.Office of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Runde, Charles J.. The recorded action date is 28 Sep 2009.PersonOCC Enforcement Actions
- The First National Bank of IpswichOffice of the Comptroller of the Currency records “Formal Agreement” for The First National Bank of Ipswich. The recorded action date is 28 Jun 2006. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Henderson National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Henderson National Bank. The recorded action date is 10 Jun 2002. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- First National Bank of Akron, TheOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for First National Bank of Akron, The. The recorded action date is 19 Sep 1991.OrganizationOCC Enforcement Actions
- Zatikian, NickOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Zatikian, Nick. The recorded action date is 11 Mar 2025.PersonOCC Enforcement Actions
- Prince, SabinaOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Prince, Sabina. The recorded action date is 9 Apr 2024.PersonOCC Enforcement Actions
- Mendieta, UrielOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Mendieta, Uriel. The recorded action date is 25 May 2006.PersonOCC Enforcement Actions
- American National BankOffice of the Comptroller of the Currency records “Prompt Corrective Action (PCA) Directive” for American National Bank. The recorded action date is 27 Jan 1993. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Roberts, DanielOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Roberts, Daniel. The recorded action date is 10 Apr 2018.PersonOCC Enforcement Actions
- One Bank & Trust, National AssociationOffice of the Comptroller of the Currency records “Formal Agreement” for One Bank & Trust, National Association. The recorded action date is 20 Jan 2011. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- The First National Bank of St. MarysOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for The First National Bank of St. Marys. The recorded action date is 23 Apr 2002. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Smith, James EarlOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Smith, James Earl. The recorded action date is 4 Apr 2003.PersonOCC Enforcement Actions
- Salmon, RichardOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Salmon, Richard. The recorded action date is 27 Jul 1998.PersonOCC Enforcement Actions
- Mennie, Hubert J.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Mennie, Hubert J.. The recorded action date is 9 Jul 2008.PersonOCC Enforcement Actions
- Boutilier, DouglasOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Boutilier, Douglas. The recorded action date is 26 May 1993.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.