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 and TrustOffice of the Comptroller of the Currency records “Formal Agreement” for First National Bank and Trust. The recorded action date is 15 Feb 2011. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Bank of America, National AssociationOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Bank of America, National Association. The recorded action date is 11 Nov 2014. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Huges, James E.Office of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Huges, James E.. The recorded action date is 19 Jan 2000.PersonOCC Enforcement Actions
- The First National Bank of HartfordOffice 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 Hartford. The recorded action date is 6 Mar 2012. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- High, William A.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for High, William A.. The recorded action date is 26 Feb 1990.PersonOCC Enforcement Actions
- Central National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Central National Bank. The recorded action date is 17 Sep 2009. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Mills, RobertOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Mills, Robert. The recorded action date is 26 Jan 1998.PersonOCC Enforcement Actions
- Willits, Lydia H.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Willits, Lydia H.. The recorded action date is 28 May 2010.PersonOCC Enforcement Actions
- First East Side Savings BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for First East Side Savings Bank. The recorded action date is 20 May 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Stephens Federal BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Stephens Federal Bank. The recorded action date is 15 Sep 2011. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Home Federal Bank of HollywoodOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Home Federal Bank of Hollywood. The recorded action date is 27 Jul 2012. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- City National BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for City National Bank. The recorded action date is 5 May 1992. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- JPMorgan Chase Bank, National AssociationOffice of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for JPMorgan Chase Bank, National Association. The recorded action date is 18 Sep 2013.OrganizationOCC Enforcement Actions
- Ripley Federal Savings BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Ripley Federal Savings Bank. The recorded action date is 21 Jan 2009. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Grove, Michael E.Office of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Grove, Michael E.. The recorded action date is 25 Mar 1991. This source entry is excluded from current screening matches.PersonOCC Enforcement Actions
- Jackson, Robert L.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Jackson, Robert L.. The recorded action date is 9 Apr 1996.PersonOCC Enforcement Actions
- The First National Bank of ChatsworthOffice of the Comptroller of the Currency records “Formal Agreement” for The First National Bank of Chatsworth. The recorded action date is 28 Apr 2003. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Wells Fargo Bank, National AssociationOffice of the Comptroller of the Currency records “GLBA Agreement” for Wells Fargo Bank, National Association. The recorded action date is 15 Sep 2015. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Security National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Security National Bank. The recorded action date is 28 Apr 1993. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Urban National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Urban National Bank. The recorded action date is 14 Jan 1992. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- First National Bank In AlbuquerqueOffice of the Comptroller of the Currency records “Formal Agreement” for First National Bank In Albuquerque. The recorded action date is 28 Mar 1991. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- American National Bank of ArizonaOffice of the Comptroller of the Currency records “Formal Agreement” for American National Bank of Arizona. The recorded action date is 18 Dec 1991. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Yardville National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Yardville National Bank. The recorded action date is 31 Aug 2005. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- U.S. 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 U.S. Bank National Association. The recorded action date is 23 Oct 2015. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Fia Card Services, National AssociationOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Fia Card Services, National Association. The recorded action date is 7 Apr 2014. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Mutual FSB, A FssbOffice of the Comptroller of the Currency records “Formal Agreement” for Mutual FSB, A Fssb. The recorded action date is 1 Jun 2011. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- First National Bank Of RotanOffice of the Comptroller of the Currency records “Formal Agreement” for First National Bank Of Rotan. The recorded action date is 15 Oct 1998. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Kallas, Amy RodgersOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Kallas, Amy Rodgers. The recorded action date is 2 Aug 2017.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 20 Mar 1992.PersonOCC Enforcement Actions
- Hometown National BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Hometown National Bank. The recorded action date is 29 Jul 2009. 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.