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
- Capital One, National AssociationOffice of the Comptroller of the Currency records “GLBA Agreement” for Capital One, National Association. The recorded action date is 25 Apr 2014. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Quesada, GustavoOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Quesada, Gustavo. The recorded action date is 9 Apr 2007.PersonOCC Enforcement Actions
- Fidelity Bank of Florida, National AssociationOffice of the Comptroller of the Currency records “Formal Agreement” for Fidelity Bank of Florida, National Association. The recorded action date is 9 Jun 2009. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- PNC Bank, National AssociationOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for PNC Bank, National Association. The recorded action date is 18 Jul 2022.OrganizationOCC Enforcement Actions
- Bassie, TravisOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Bassie, Travis. The recorded action date is 4 Oct 2012.PersonOCC Enforcement Actions
- First Western 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 First Western Bank National Association. The recorded action date is 13 Oct 1992. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Saddle River Valley BankOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Saddle River Valley Bank. The recorded action date is 23 Sep 2013.OrganizationOCC Enforcement Actions
- Barbary Coast National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Barbary Coast National Bank. The recorded action date is 4 Dec 1992. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Nova Financial CorporationOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Nova Financial Corporation. The recorded action date is 1 Jul 1998. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Kenneally, Bernard P.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Kenneally, Bernard P.. The recorded action date is 2 Apr 2004.PersonOCC Enforcement Actions
- McNaughton, Earlford FoyOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for McNaughton, Earlford Foy. The recorded action date is 15 Feb 2007.PersonOCC Enforcement Actions
- Serratore, JamesOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Serratore, James. The recorded action date is 26 Feb 2007.PersonOCC Enforcement Actions
- The Federal Savings BankOffice of the Comptroller of the Currency records “Formal Agreement” for The Federal Savings Bank. The recorded action date is 29 Oct 2021. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Dubose, TracyOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Dubose, Tracy. The recorded action date is 23 Nov 1993.PersonOCC Enforcement Actions
- Puppe, Wayne E.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Puppe, Wayne E.. The recorded action date is 2 Mar 2001.PersonOCC Enforcement Actions
- National Bank Of ArkansasOffice of the Comptroller of the Currency records “Formal Agreement” for National Bank Of Arkansas. The recorded action date is 20 Dec 1991. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Raphaelson, MatthewOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Raphaelson, Matthew. The recorded action date is 21 Sep 2020.PersonOCC Enforcement Actions
- Clear Creek National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Clear Creek National Bank. The recorded action date is 4 Dec 2009. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Pysadee, HaroldOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Pysadee, Harold. The recorded action date is 22 May 2023.PersonOCC Enforcement Actions
- Wachtel, DouglasOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Wachtel, Douglas. The recorded action date is 9 Dec 2005.PersonOCC Enforcement Actions
- Riverside National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Riverside National Bank. The recorded action date is 17 Jun 1993. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Kim, Chang HeeOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Kim, Chang Hee. The recorded action date is 21 Oct 1993.PersonOCC Enforcement Actions
- National Independent Trust CompanyOffice of the Comptroller of the Currency records “Formal Agreement” for National Independent Trust Company. The recorded action date is 2 Feb 2012. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Ward, Henry L.Office of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Ward, Henry L.. The recorded action date is 3 Dec 1991.PersonOCC Enforcement Actions
- Schlager, MichaelOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Schlager, Michael. The recorded action date is 17 Feb 2011.PersonOCC Enforcement Actions
- Foxboro National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Foxboro National Bank. The recorded action date is 24 Jul 1991. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- First National Bank In Cannon FallsOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for First National Bank In Cannon Falls. The recorded action date is 6 Jun 1991.OrganizationOCC Enforcement Actions
- Native American Bank, National AssociationOffice of the Comptroller of the Currency records “Capital Directive” for Native American Bank, National Association. The recorded action date is 12 Mar 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Parsons, AaronOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Parsons, Aaron. The recorded action date is 1 Feb 2024.PersonOCC Enforcement Actions
- Canon National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Canon National Bank. The recorded action date is 19 May 2008. 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.