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
- Henderson, William R.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Henderson, William R.. The recorded action date is 25 Mar 2004.PersonOCC Enforcement Actions
- Colorado National BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Colorado National Bank. The recorded action date is 3 Sep 2008. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Bartell, Richard W.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Bartell, Richard W.. The recorded action date is 11 Jan 1994.PersonOCC Enforcement Actions
- Wakeman, Robert N.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Wakeman, Robert N.. The recorded action date is 8 Mar 1996.PersonOCC Enforcement Actions
- Brannan, Stephen L.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Brannan, Stephen L.. The recorded action date is 3 Dec 1991.PersonOCC Enforcement Actions
- Williams, MauriceOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Williams, Maurice. The recorded action date is 8 Jan 2007.PersonOCC Enforcement Actions
- The First National Bank of CambridgeOffice of the Comptroller of the Currency records “Formal Agreement” for The First National Bank of Cambridge. The recorded action date is 18 Dec 2003. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Muckleroy, Michael KentOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Muckleroy, Michael Kent. The recorded action date is 19 Apr 2005.PersonOCC Enforcement Actions
- Lamb, Raymond A.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Lamb, Raymond A.. The recorded action date is 30 Aug 2011.PersonOCC Enforcement Actions
- Russell, John W.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Russell, John W.. The recorded action date is 31 Aug 1990.PersonOCC Enforcement Actions
- Ward, ChesterOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Ward, Chester. The recorded action date is 19 Sep 2016.PersonOCC Enforcement Actions
- First Southern National BankOffice of the Comptroller of the Currency records “Formal Agreement” for First Southern National Bank. The recorded action date is 18 May 2009. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- The City National Bank Of ShenandoahOffice of the Comptroller of the Currency records “Formal Agreement” for The City National Bank Of Shenandoah. The recorded action date is 7 Oct 1992. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Stamm, Lee AnnOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Stamm, Lee Ann. The recorded action date is 20 Jun 2011.PersonOCC Enforcement Actions
- First National Bank & Trust Company in LarnedOffice of the Comptroller of the Currency records “Formal Agreement” for First National Bank & Trust Company in Larned. The recorded action date is 17 Apr 2008. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Zimmerman, KennethOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Zimmerman, Kenneth. The recorded action date is 21 Sep 2020.PersonOCC Enforcement Actions
- Rappahannock National Bank, TheOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Rappahannock National Bank, The. The recorded action date is 18 Mar 1991. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- McMahan, Richard A.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for McMahan, Richard A.. The recorded action date is 17 Nov 1994.PersonOCC Enforcement Actions
- Southfirst BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Southfirst Bank. The recorded action date is 15 Aug 2012. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Gray, Downey M.Office of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Gray, Downey M.. The recorded action date is 18 Sep 2002.PersonOCC Enforcement Actions
- Bianco, James W.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Bianco, James W.. The recorded action date is 21 Oct 1991.PersonOCC Enforcement Actions
- Rostami, AliceOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Rostami, Alice. The recorded action date is 7 Oct 1999.PersonOCC Enforcement Actions
- Eastern National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Eastern National Bank. The recorded action date is 11 Aug 1999. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- OneWest 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 OneWest Bank, National Association. The recorded action date is 11 Mar 2014. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Incommons Bank, National AssociationOffice of the Comptroller of the Currency records “Formal Agreement” for Incommons Bank, National Association. The recorded action date is 20 Apr 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Trotter, Lee A.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Trotter, Lee A.. The recorded action date is 19 Dec 1989.PersonOCC Enforcement Actions
- Ray, Jeffrey S.Office of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Ray, Jeffrey S.. The recorded action date is 9 Jul 2008.PersonOCC Enforcement Actions
- Surety Bank, National AssociationOffice of the Comptroller of the Currency records “Formal Agreement” for Surety Bank, National Association. The recorded action date is 18 Feb 2003. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- The Camden National BankOffice of the Comptroller of the Currency records “Formal Agreement” for The Camden National Bank. The recorded action date is 9 Sep 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Santander Bank, National AssociationOffice of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Santander Bank, National Association. The recorded action date is 26 Mar 2015.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.