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
- Banco de ChileOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Banco de Chile. The recorded action date is 1 Feb 2005. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- McLain, R. BruceOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for McLain, R. Bruce. The recorded action date is 8 Mar 1994.PersonOCC Enforcement Actions
- Lee, StephenOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Lee, Stephen. The recorded action date is 29 Oct 2003.PersonOCC Enforcement Actions
- Shipp, BarbaraOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Shipp, Barbara. The recorded action date is 28 May 2010.PersonOCC Enforcement Actions
- Goleta National BankOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Goleta National Bank. The recorded action date is 28 Oct 2002.OrganizationOCC Enforcement Actions
- Juarez, JavierOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Juarez, Javier. The recorded action date is 18 Dec 2018.PersonOCC Enforcement Actions
- Mauthe, GeraldineOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Mauthe, Geraldine. The recorded action date is 24 Nov 1999.PersonOCC Enforcement Actions
- Oberts, SherylOffice of the Comptroller of the Currency records “1829 Prohibition Notification” for Oberts, Sheryl. The recorded action date is 23 May 2024.PersonOCC Enforcement Actions
- Baybank Connecticut,, N.A.Office of the Comptroller of the Currency records “Formal Agreement” for Baybank Connecticut,, N.A.. The recorded action date is 13 May 1993. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- United Credit 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 Credit National Bank. The recorded action date is 29 Jun 2000. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Saephan, Liu H.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Saephan, Liu H.. The recorded action date is 16 Jul 2008.PersonOCC Enforcement Actions
- Kidd, TracyOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Kidd, Tracy. The recorded action date is 21 Sep 2020.PersonOCC Enforcement Actions
- Universal National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Universal National Bank. The recorded action date is 21 Feb 1991. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Morgan, Craig A.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Morgan, Craig A.. The recorded action date is 18 Jan 2005.PersonOCC Enforcement Actions
- Merchants National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Merchants National Bank. The recorded action date is 17 Dec 1990. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Lacayo, RonaldOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Lacayo, Ronald. The recorded action date is 15 May 2003.PersonOCC Enforcement Actions
- Johnson, SusanOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Johnson, Susan. The recorded action date is 8 Jun 1990.PersonOCC Enforcement Actions
- The First National Bank of HartfordOffice of the Comptroller of the Currency records “GLBA Agreement” for The First National Bank of Hartford. The recorded action date is 15 Apr 2013. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Chase Bank USA, National AssociationOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Chase Bank USA, National Association. The recorded action date is 7 Jan 2014.OrganizationOCC Enforcement Actions
- Linkow, Edward W.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Linkow, Edward W.. The recorded action date is 13 Mar 1990.PersonOCC Enforcement Actions
- Fidelity National BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Fidelity National Bank. The recorded action date is 21 Dec 2000. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Rodgers, Kathleen A.Office of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Rodgers, Kathleen A.. The recorded action date is 23 Feb 2001.PersonOCC Enforcement Actions
- Zeitner, MichelleOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Zeitner, Michelle. The recorded action date is 11 Dec 2020.PersonOCC Enforcement Actions
- The Farmers National Bank of ProphetstownOffice of the Comptroller of the Currency records “Formal Agreement” for The Farmers National Bank of Prophetstown. The recorded action date is 16 Dec 2009. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Weaver, RoxanneOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Weaver, Roxanne. The recorded action date is 6 Aug 1993.PersonOCC Enforcement Actions
- Rozell, NeilOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Rozell, Neil. The recorded action date is 26 Mar 1990.PersonOCC Enforcement Actions
- The First National Bank of O'DonnellOffice 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 O'Donnell. The recorded action date is 17 Jun 2003. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- The National Republic 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 National Republic Bank Of Chicago. The recorded action date is 22 Sep 1992. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- San Antonio National BankOffice of the Comptroller of the Currency records “Formal Agreement” for San Antonio National Bank. The recorded action date is 30 Sep 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Washington State Bank, National AssociationOffice of the Comptroller of the Currency records “Formal Agreement” for Washington State Bank, National Association. The recorded action date is 3 Jan 2006. 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.