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
- Soltis, CharlesOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Soltis, Charles. The recorded action date is 1 Dec 1993.PersonOCC Enforcement Actions
- Charfauros, JessicaOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Charfauros, Jessica. The recorded action date is 19 Nov 2007.PersonOCC Enforcement Actions
- Deposit Guaranty National BankOffice of the Comptroller of the Currency records “Securities Enforcement Action” for Deposit Guaranty National Bank. The recorded action date is 17 Jan 1992.OrganizationOCC Enforcement Actions
- Morales, Norman A.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Morales, Norman A.. The recorded action date is 10 May 2011.PersonOCC Enforcement Actions
- Brannan, Ira LeeOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Brannan, Ira Lee. The recorded action date is 3 Dec 1991.PersonOCC Enforcement Actions
- TD Bank USA, National AssociationOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for TD Bank USA, National Association. The recorded action date is 9 Oct 2024.OrganizationOCC Enforcement Actions
- Sorensen, Vernon E.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Sorensen, Vernon E.. The recorded action date is 2 Nov 1993.PersonOCC Enforcement Actions
- Eastpark National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Eastpark National Bank. The recorded action date is 28 Mar 1991. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Bank of America, National AssociationOffice of the Comptroller of the Currency records “Formal Agreement” for Bank of America, National Association. The recorded action date is 9 Feb 2005. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Ellsworth, Steven J.Office of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Ellsworth, Steven J.. The recorded action date is 23 Mar 2016.PersonOCC Enforcement Actions
- Cicarelli, Robert P.Office of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Cicarelli, Robert P.. The recorded action date is 27 Apr 1993.PersonOCC Enforcement Actions
- Mutual Federal BankOffice of the Comptroller of the Currency records “Formal Agreement” for Mutual Federal Bank. The recorded action date is 17 Feb 2012. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Austin III, John PaulOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Austin III, John Paul. The recorded action date is 12 Sep 2022.PersonOCC Enforcement Actions
- Benson, Wayne H.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Benson, Wayne H.. The recorded action date is 10 Nov 2003.PersonOCC Enforcement Actions
- Rio National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Rio National Bank. The recorded action date is 9 Sep 1998. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Cook, MarkOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Cook, Mark. The recorded action date is 3 Dec 2001.PersonOCC Enforcement Actions
- Farmers National Bank Of GriggsvilleOffice of the Comptroller of the Currency records “Formal Agreement” for Farmers National Bank Of Griggsville. The recorded action date is 13 Nov 1991. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Tsai, DavidOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Tsai, David. The recorded action date is 20 Mar 1997.PersonOCC Enforcement Actions
- One Bank & Trust, National AssociationOffice of the Comptroller of the Currency records “Prompt Corrective Action (PCA) Directive” for One Bank & Trust, National Association. The recorded action date is 28 Sep 2012. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- F&M Bank and Trust CompanyOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for F&M Bank and Trust Company. The recorded action date is 28 Aug 2012. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Garza, RodrigoOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Garza, Rodrigo. The recorded action date is 16 Apr 2018.PersonOCC Enforcement Actions
- Blandon, RobertoOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Blandon, Roberto. The recorded action date is 16 Mar 2007. This source entry is excluded from current screening matches.PersonOCC Enforcement Actions
- Schlichte, DebraOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Schlichte, Debra. The recorded action date is 24 May 2023.PersonOCC Enforcement Actions
- Rivera, ChristianOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Rivera, Christian. The recorded action date is 9 Sep 2020.PersonOCC Enforcement Actions
- Barnes, JamesOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Barnes, James. The recorded action date is 23 Mar 2015.PersonOCC Enforcement Actions
- Aurora Bank FSBOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Aurora Bank FSB. The recorded action date is 28 Feb 2013. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- First Commercial Bank, N.A.Office of the Comptroller of the Currency records “Formal Agreement” for First Commercial Bank, N.A.. The recorded action date is 16 Aug 1999. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Wagenknecht, Pamela K.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Wagenknecht, Pamela K.. The recorded action date is 21 Dec 2011.PersonOCC Enforcement Actions
- National Bank Of CommerceOffice of the Comptroller of the Currency records “Formal Agreement” for National Bank Of Commerce. The recorded action date is 4 Dec 1990. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Kansas National Bank And Trust CompanyOffice of the Comptroller of the Currency records “Formal Agreement” for Kansas National Bank And Trust Company. The recorded action date is 21 Nov 1991. 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.