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 Bank Southeast, N.A.Office of the Comptroller of the Currency records “Formal Agreement” for First Bank Southeast, N.A.. The recorded action date is 20 Mar 1991. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- The National Bank of RoxburyOffice of the Comptroller of the Currency records “Formal Agreement” for The National Bank of Roxbury. The recorded action date is 28 Jan 1991. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Palumbo, L.P.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Palumbo, L.P.. The recorded action date is 1 Mar 1991.PersonOCC Enforcement Actions
- Breihan, Richard M.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Breihan, Richard M.. The recorded action date is 2 Jan 2001.PersonOCC Enforcement Actions
- McCaslin, HenryOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for McCaslin, Henry. The recorded action date is 29 Aug 2012.PersonOCC Enforcement Actions
- Century National Bank Of OklahomaOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Century National Bank Of Oklahoma. The recorded action date is 3 Feb 1993. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Kasper, FranklinOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Kasper, Franklin. The recorded action date is 12 Sep 1990.PersonOCC Enforcement Actions
- Bowman, DannOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Bowman, Dann. The recorded action date is 1 Mar 2012.PersonOCC Enforcement Actions
- Brandimarti, BelindaOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Brandimarti, Belinda. The recorded action date is 31 May 2011.PersonOCC Enforcement Actions
- Beaton, JamesOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Beaton, James. The recorded action date is 26 Feb 1990.PersonOCC Enforcement Actions
- Beauchamp, Michelle R.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Beauchamp, Michelle R.. The recorded action date is 21 Dec 2000.PersonOCC Enforcement Actions
- First Suburban National BankOffice of the Comptroller of the Currency records “Formal Agreement” for First Suburban National Bank. The recorded action date is 27 Oct 2008. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Malone, JanisOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Malone, Janis. The recorded action date is 17 Mar 2009.PersonOCC Enforcement Actions
- Halteman, JayOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Halteman, Jay. The recorded action date is 13 Jul 1993.PersonOCC Enforcement Actions
- First National BankOffice of the Comptroller of the Currency records “Formal Agreement” for First National Bank. The recorded action date is 27 Mar 1992. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Industrial Bank, N.A.Office of the Comptroller of the Currency records “Formal Agreement” for Industrial Bank, N.A.. The recorded action date is 25 Aug 1998. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Weaver, JamesOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Weaver, James. The recorded action date is 6 Aug 1993.PersonOCC Enforcement Actions
- Fulton 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 Fulton Bank, National Association. The recorded action date is 14 Jul 2014. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Enterprise National Bank Of Palm BeachOffice of the Comptroller of the Currency records “Formal Agreement” for Enterprise National Bank Of Palm Beach. The recorded action date is 17 Jun 1999. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Markman, BarbaraOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Markman, Barbara. The recorded action date is 1 Aug 2000.PersonOCC Enforcement Actions
- Lamb, R. PatrickOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Lamb, R. Patrick. The recorded action date is 30 Aug 2011.PersonOCC Enforcement Actions
- The First National Bank of MercersburgOffice of the Comptroller of the Currency records “Formal Agreement” for The First National Bank of Mercersburg. The recorded action date is 27 Oct 2010. This source entry is excluded from current screening matches.OrganizationOCC 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 28 Feb 2013. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Saks IncorporatedOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Saks Incorporated. The recorded action date is 11 Apr 2003.OrganizationOCC Enforcement Actions
- National American BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for National American Bank. The recorded action date is 8 Oct 1992. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Snyder, John K.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Snyder, John K.. The recorded action date is 14 Oct 1992.PersonOCC Enforcement Actions
- Mandel, StanleyOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Mandel, Stanley. The recorded action date is 11 Mar 1994.PersonOCC Enforcement Actions
- Weiner, StanleyOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Weiner, Stanley. The recorded action date is 22 Jul 1994.PersonOCC Enforcement Actions
- Jiang, MingOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Jiang, Ming. The recorded action date is 23 Sep 2002.PersonOCC Enforcement Actions
- Martinez, LaudelinaOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Martinez, Laudelina. The recorded action date is 12 Feb 2007.PersonOCC 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.