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
- Anderson, Gerald E.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Anderson, Gerald E.. The recorded action date is 17 Nov 1992.PersonOCC Enforcement Actions
- Kozdemba, GeorgeOffice of the Comptroller of the Currency records “1829 Prohibition Notification” for Kozdemba, George. The recorded action date is 31 Jul 2024.PersonOCC Enforcement Actions
- Bjorklund, CraigOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Bjorklund, Craig. The recorded action date is 26 Oct 2016.PersonOCC Enforcement Actions
- Kyzar, Raymond J.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Kyzar, Raymond J.. The recorded action date is 5 Jul 2011.PersonOCC Enforcement Actions
- Aksoy, ErolOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Aksoy, Erol. The recorded action date is 20 Feb 1996.PersonOCC Enforcement Actions
- Bassi, NeilOffice of the Comptroller of the Currency records “Notice of Charges” for Bassi, Neil. The recorded action date is 17 Dec 2020. This source entry is excluded from current screening matches.PersonOCC Enforcement Actions
- Hitch, PaulOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Hitch, Paul. The recorded action date is 1 May 1992.PersonOCC Enforcement Actions
- Gross, David D.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Gross, David D.. The recorded action date is 18 Feb 1994.PersonOCC Enforcement Actions
- Western Springs National Bank And TrustOffice of the Comptroller of the Currency records “Formal Agreement” for Western Springs National Bank And Trust. The recorded action date is 18 Aug 1992. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- The Merchants National Bank Of SacramentoOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for The Merchants National Bank Of Sacramento. The recorded action date is 17 Jul 1990.OrganizationOCC Enforcement Actions
- Finger, Henry M.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Finger, Henry M.. The recorded action date is 10 Sep 1991.PersonOCC Enforcement Actions
- American National Bank And Trust CompanyOffice of the Comptroller of the Currency records “Formal Agreement” for American National Bank And Trust Company. The recorded action date is 17 Sep 1991. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Caldwell, HelenOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Caldwell, Helen. The recorded action date is 8 Nov 2023.PersonOCC Enforcement Actions
- First Farmers and Merchants National BankOffice of the Comptroller of the Currency records “Formal Agreement” for First Farmers and Merchants National Bank. The recorded action date is 3 Sep 2002. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Gibson, Alexis G.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Gibson, Alexis G.. The recorded action date is 21 Nov 2002.PersonOCC Enforcement Actions
- Lamb, R. PatrickOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Lamb, R. Patrick. The recorded action date is 30 Aug 2011.PersonOCC Enforcement Actions
- Herrick, John W.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Herrick, John W.. The recorded action date is 18 Jan 1990.PersonOCC Enforcement Actions
- Lovell, Everett W.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Lovell, Everett W.. The recorded action date is 4 Jun 1993.PersonOCC Enforcement Actions
- Golden, Sammie R.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Golden, Sammie R.. The recorded action date is 30 Nov 2000.PersonOCC Enforcement Actions
- Edwards, KeithOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Edwards, Keith. The recorded action date is 14 Mar 2008.PersonOCC Enforcement Actions
- The National Commercial BankOffice of the Comptroller of the Currency records “Formal Agreement” for The National Commercial Bank. The recorded action date is 31 Jul 1992. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Rice, Robert L.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Rice, Robert L.. The recorded action date is 19 Mar 1992.PersonOCC Enforcement Actions
- Rice, Alvin C.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Rice, Alvin C.. The recorded action date is 3 Nov 1994.PersonOCC Enforcement Actions
- Whitehead, TomOffice of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Whitehead, Tom. The recorded action date is 21 Nov 2017.PersonOCC Enforcement Actions
- The Rappahannock National Bank Of WashingtonOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for The Rappahannock National Bank Of Washington. The recorded action date is 13 Dec 1990. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Kelley, Robert V.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Kelley, Robert V.. The recorded action date is 17 Jul 1990.PersonOCC Enforcement Actions
- Torres, CathyOffice of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Torres, Cathy. The recorded action date is 12 Sep 2022.PersonOCC Enforcement Actions
- Valley National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Valley National Bank. The recorded action date is 24 Feb 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Bedford National BankOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Bedford National Bank. The recorded action date is 20 Sep 1989.OrganizationOCC Enforcement Actions
- Neises, Richard J.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Neises, Richard J.. The recorded action date is 21 Oct 1991.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.