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
- TD Bank, National AssociationOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for TD Bank, National Association. The recorded action date is 9 Oct 2024.OrganizationOCC 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
- Denny, RobertOffice of the Comptroller of the Currency records “Securities Enforcement Action” for Denny, Robert. The recorded action date is 9 Nov 1992.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 30 Nov 1999. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Folkers, StacyOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Folkers, Stacy. The recorded action date is 22 May 2018.PersonOCC Enforcement Actions
- Dempster, Kurt J.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Dempster, Kurt J.. The recorded action date is 27 Mar 2009.PersonOCC Enforcement Actions
- Citizens 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 Citizens Bank, National Association. The recorded action date is 10 Nov 2015. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Emerick, Jayna N.Office of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Emerick, Jayna N.. The recorded action date is 9 Sep 2002.PersonOCC Enforcement Actions
- Briscoe, LenardOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Briscoe, Lenard. The recorded action date is 5 Aug 1999.PersonOCC Enforcement Actions
- Ranzinger, Robert H.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Ranzinger, Robert H.. The recorded action date is 10 Sep 2014.PersonOCC Enforcement Actions
- Texas Community Bank, National AssociationOffice of the Comptroller of the Currency records “Formal Agreement” for Texas Community Bank, National Association. The recorded action date is 7 May 2009. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- National City Bank Of MinneapolisOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for National City Bank Of Minneapolis. The recorded action date is 31 May 1994.OrganizationOCC Enforcement Actions
- Brannan, StephenOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Brannan, Stephen. The recorded action date is 3 Dec 1991.PersonOCC Enforcement Actions
- JPMorgan Chase 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 JPMorgan Chase Bank, National Association. The recorded action date is 13 Apr 2011. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Wallace, WilliamOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Wallace, William. The recorded action date is 5 Jun 2002.PersonOCC Enforcement Actions
- Kay, RanceOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Kay, Rance. The recorded action date is 10 May 1999.PersonOCC Enforcement Actions
- Paz, JimmyOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Paz, Jimmy. The recorded action date is 19 Feb 2021.PersonOCC Enforcement Actions
- National Bank of Arkansas in North Little RockOffice of the Comptroller of the Currency records “Formal Agreement” for National Bank of Arkansas in North Little Rock. The recorded action date is 30 Mar 2009. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Smith, LindsayOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Smith, Lindsay. The recorded action date is 4 Sep 2013.PersonOCC Enforcement Actions
- Wells Fargo Bank, National AssociationOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Wells Fargo Bank, National Association. The recorded action date is 3 Jun 2015.OrganizationOCC Enforcement Actions
- Barnes, JamesOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Barnes, James. The recorded action date is 23 Mar 2015.PersonOCC Enforcement Actions
- Clemens, Thomas N.Office of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Clemens, Thomas N.. The recorded action date is 9 Sep 1991.PersonOCC Enforcement Actions
- 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 11 Jun 2004. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Carlos, CarolOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Carlos, Carol. The recorded action date is 12 Nov 2013.PersonOCC Enforcement Actions
- Security Bank, National AssociationOffice of the Comptroller of the Currency records “Formal Agreement” for Security Bank, National Association. The recorded action date is 19 Dec 1991. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Clare, TimothyOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Clare, Timothy. The recorded action date is 3 Nov 2016.PersonOCC Enforcement Actions
- Cole, George J.Office of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Cole, George J.. The recorded action date is 30 Jul 2002.PersonOCC Enforcement Actions
- Vigil, NickOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Vigil, Nick. The recorded action date is 29 Oct 2015.PersonOCC Enforcement Actions
- First National Bank Of Jefferson ParishOffice of the Comptroller of the Currency records “Formal Agreement” for First National Bank Of Jefferson Parish. The recorded action date is 23 May 1991. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Duncanville National BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Duncanville National Bank. The recorded action date is 13 Feb 1990. 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.