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
- First National Bank of White Sulphur Springs, TheOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for First National Bank of White Sulphur Springs, The. The recorded action date is 9 Jun 1992. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Higgs, JoeOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Higgs, Joe. The recorded action date is 24 Oct 1989.PersonOCC Enforcement Actions
- Rossi, AndrewOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Rossi, Andrew. The recorded action date is 1 Aug 2003.PersonOCC Enforcement Actions
- Dominion Bank Of Maryland, N.A.Office of the Comptroller of the Currency records “Formal Agreement” for Dominion Bank Of Maryland, N.A.. The recorded action date is 11 Sep 1992. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Peoples National BankOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Peoples National Bank. The recorded action date is 30 Jan 2003.OrganizationOCC Enforcement Actions
- Wells Fargo 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 Wells Fargo Bank, National Association. The recorded action date is 29 Sep 2016. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Diamante, AnthonyOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Diamante, Anthony. The recorded action date is 12 Sep 2008.PersonOCC Enforcement Actions
- Giesecke, Richard L.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Giesecke, Richard L.. The recorded action date is 22 Feb 1993.PersonOCC Enforcement Actions
- Regalado, Jorge H.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Regalado, Jorge H.. The recorded action date is 18 Sep 2001.PersonOCC Enforcement Actions
- Bank of ChinaOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Bank of China. The recorded action date is 24 Apr 2018. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- The First National Bank of BrewsterOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for The First National Bank of Brewster. The recorded action date is 6 Jul 2006.OrganizationOCC Enforcement Actions
- North State National BankOffice of the Comptroller of the Currency records “Formal Agreement” for North State National Bank. The recorded action date is 17 Aug 1992. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- First National Bank of GeorgiaOffice of the Comptroller of the Currency records “Prompt Corrective Action (PCA) Directive” for First National Bank of Georgia. The recorded action date is 22 Dec 2009. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Leeseberg, Roger P.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Leeseberg, Roger P.. The recorded action date is 19 Jun 1990.PersonOCC Enforcement Actions
- Steffensmeier, David D.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Steffensmeier, David D.. The recorded action date is 9 Sep 1994.PersonOCC Enforcement Actions
- Hahn, LarryOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Hahn, Larry. The recorded action date is 5 Jun 1990.PersonOCC Enforcement Actions
- Young, PatrickOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Young, Patrick. The recorded action date is 31 Oct 2002.PersonOCC Enforcement Actions
- First Abu Dhabi Bank USA N.V.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for First Abu Dhabi Bank USA N.V.. The recorded action date is 9 Oct 2020.OrganizationOCC Enforcement Actions
- Zivanovic, LjiljanaOffice of the Comptroller of the Currency records “1829 Prohibition Notification” for Zivanovic, Ljiljana. The recorded action date is 9 Dec 2024.PersonOCC Enforcement Actions
- Padgett, James L.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Padgett, James L.. The recorded action date is 5 Sep 1989.PersonOCC Enforcement Actions
- McHardy, KrisOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for McHardy, Kris. The recorded action date is 3 Aug 2012.PersonOCC Enforcement Actions
- First Citizens Bank, National AssociationOffice of the Comptroller of the Currency records “Formal Agreement” for First Citizens Bank, National Association. The recorded action date is 9 Jun 2005. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Campbell, Douglas L.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Campbell, Douglas L.. The recorded action date is 18 Mar 2008.PersonOCC Enforcement Actions
- Kennedy, JosiahOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Kennedy, Josiah. The recorded action date is 26 Feb 2025.PersonOCC Enforcement Actions
- Greer, RandellOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Greer, Randell. The recorded action date is 17 Jun 2014.PersonOCC Enforcement Actions
- First National Bank Of The NorthOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for First National Bank Of The North. The recorded action date is 6 Apr 2001. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Kostakopoulos, Haralambos S.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Kostakopoulos, Haralambos S.. The recorded action date is 19 Jan 2016.PersonOCC Enforcement Actions
- Sprang, MatthewOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Sprang, Matthew. The recorded action date is 21 Nov 2022.PersonOCC Enforcement Actions
- Sun Bank Capital Management, National AssociationOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Sun Bank Capital Management, National Association. The recorded action date is 9 Feb 1990.OrganizationOCC Enforcement Actions
- Hays, Thomas E.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Hays, Thomas E.. The recorded action date is 3 Aug 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.