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
- Prime Pacific 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 Prime Pacific Bank, National Association. The recorded action date is 31 Aug 2009. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Wells Fargo Bank Of Arizona, National AssociationOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Wells Fargo Bank Of Arizona, National Association. The recorded action date is 15 Jan 1992.OrganizationOCC Enforcement Actions
- Firth, Ralph W.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Firth, Ralph W.. The recorded action date is 27 May 2014.PersonOCC Enforcement Actions
- Smith, Preston G.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Smith, Preston G.. The recorded action date is 7 Jul 2008.PersonOCC Enforcement Actions
- Neighborhood National BankOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Neighborhood National Bank. The recorded action date is 23 Jun 2020.OrganizationOCC Enforcement Actions
- Carroll, Gina M.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Carroll, Gina M.. The recorded action date is 16 Jul 2007.PersonOCC Enforcement Actions
- The Mason National BankOffice of the Comptroller of the Currency records “Formal Agreement” for The Mason National Bank. The recorded action date is 15 Mar 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- The Cosmopolitan National Bank Of ChicagoOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for The Cosmopolitan National Bank Of Chicago. The recorded action date is 26 Mar 1990. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- First National Bank Of BonhamOffice 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 Bonham. The recorded action date is 10 Apr 1990. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Cavender, R. StephenOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Cavender, R. Stephen. The recorded action date is 1 Feb 2002.PersonOCC Enforcement Actions
- Lin, Daniel P.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Lin, Daniel P.. The recorded action date is 12 May 1997.PersonOCC Enforcement Actions
- Thompson, UlyssiaOffice of the Comptroller of the Currency records “1829 Prohibition Notification” for Thompson, Ulyssia. The recorded action date is 24 Oct 2024.PersonOCC Enforcement Actions
- Karlen, GeorgeOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Karlen, George. The recorded action date is 1 Dec 1993.PersonOCC Enforcement Actions
- Toumazatos, SteveOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Toumazatos, Steve. The recorded action date is 5 Jan 2001.PersonOCC Enforcement Actions
- The First National Bank of JeffersonOffice 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 Jefferson. The recorded action date is 8 Jan 1991. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Mission National BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Mission National Bank. The recorded action date is 22 Mar 2012. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- United National BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for United National Bank. The recorded action date is 14 Oct 1999. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Torno, Curtis J.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Torno, Curtis J.. The recorded action date is 22 Aug 1994.PersonOCC Enforcement Actions
- De Leon, ArmandoOffice of the Comptroller of the Currency records “Notice of Charges” for De Leon, Armando. The recorded action date is 21 Nov 2024. This source entry is excluded from current screening matches.PersonOCC Enforcement Actions
- Roebling BankOffice of the Comptroller of the Currency records “Formal Agreement” for Roebling Bank. The recorded action date is 23 Jul 2012. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Walker, Stephen RobertOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Walker, Stephen Robert. The recorded action date is 25 Sep 2006.PersonOCC Enforcement Actions
- Watters, SamanthaOffice of the Comptroller of the Currency records “1829 Prohibition Notification” for Watters, Samantha. The recorded action date is 17 Dec 2025.PersonOCC Enforcement Actions
- Morgan Stanley Private Bank, National AssociationOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Morgan Stanley Private Bank, National Association. The recorded action date is 8 Oct 2020.OrganizationOCC Enforcement Actions
- Pacific National Bank of NantucketOffice of the Comptroller of the Currency records “Formal Agreement” for Pacific National Bank of Nantucket. The recorded action date is 19 Mar 1992. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Foss, Linda S.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Foss, Linda S.. The recorded action date is 6 Feb 2014.PersonOCC Enforcement Actions
- California National BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for California National Bank. The recorded action date is 28 May 2009. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Ponder, GeneOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Ponder, Gene. The recorded action date is 24 Nov 1999.PersonOCC Enforcement Actions
- Rackley, JackOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Rackley, Jack. The recorded action date is 27 Nov 1989.PersonOCC Enforcement Actions
- O'Toole, Donna J.Office of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for O'Toole, Donna J.. The recorded action date is 12 Sep 2007.PersonOCC Enforcement Actions
- Arndt, HaroldOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Arndt, Harold. The recorded action date is 12 Dec 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.