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
- Thomas-Nicholson, Dyann R.Office of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Thomas-Nicholson, Dyann R.. The recorded action date is 29 Sep 2004.PersonOCC Enforcement Actions
- Citizens National Bank Of NorwalkOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Citizens National Bank Of Norwalk. The recorded action date is 19 Mar 1991. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Lapke, JohnOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Lapke, John. The recorded action date is 17 May 2010.PersonOCC Enforcement Actions
- Roma BankOffice of the Comptroller of the Currency records “Formal Agreement” for Roma Bank. The recorded action date is 21 Sep 2012. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Forment, Jorge L.Office of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Forment, Jorge L.. The recorded action date is 4 Jun 2015.PersonOCC Enforcement Actions
- Cadence Bank, National AssociationOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Cadence Bank, National Association. The recorded action date is 27 Aug 2021.OrganizationOCC Enforcement Actions
- First National Bank in MahnomenOffice of the Comptroller of the Currency records “Formal Agreement” for First National Bank in Mahnomen. The recorded action date is 28 Mar 2011. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Ellis, LisaOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Ellis, Lisa. The recorded action date is 3 May 2016.PersonOCC Enforcement Actions
- O'Malley, DennisOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for O'Malley, Dennis. The recorded action date is 15 Aug 2011.PersonOCC Enforcement Actions
- Krug, Norman I.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Krug, Norman I.. The recorded action date is 27 Apr 1994.PersonOCC Enforcement Actions
- Richardson, AmyOffice of the Comptroller of the Currency records “1829 Prohibition Notification” for Richardson, Amy. The recorded action date is 10 May 2024.PersonOCC Enforcement Actions
- Bailey, James K.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Bailey, James K.. The recorded action date is 20 Jun 1989.PersonOCC Enforcement Actions
- Oscar, AmmieOffice of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Oscar, Ammie. The recorded action date is 7 Feb 1997.PersonOCC Enforcement Actions
- Regas, AllysonOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Regas, Allyson. The recorded action date is 11 Oct 2012.PersonOCC Enforcement Actions
- Morrow, Cheree A.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Morrow, Cheree A.. The recorded action date is 11 Sep 2008.PersonOCC Enforcement Actions
- Stuart, CharlesOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Stuart, Charles. The recorded action date is 23 Feb 1999.PersonOCC Enforcement Actions
- Kvalvog, RayOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Kvalvog, Ray. The recorded action date is 25 Oct 2010.PersonOCC Enforcement Actions
- Stevenson, Kevin W.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Stevenson, Kevin W.. The recorded action date is 23 Mar 2016.PersonOCC Enforcement Actions
- Parks, Kimberly A.Office of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Parks, Kimberly A.. The recorded action date is 8 Mar 2000.PersonOCC Enforcement Actions
- The First National Bank of LaytonOffice of the Comptroller of the Currency records “Formal Agreement” for The First National Bank of Layton. The recorded action date is 12 Dec 2013. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- McAllen National BankOffice of the Comptroller of the Currency records “Formal Agreement” for McAllen National Bank. The recorded action date is 12 May 1992. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- First National Bank of CrestviewOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for First National Bank of Crestview. The recorded action date is 19 Apr 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Savage, Isha-LeeOffice of the Comptroller of the Currency records “1829 Prohibition Notification” for Savage, Isha-Lee. The recorded action date is 23 May 2024.PersonOCC Enforcement Actions
- First National BankOffice of the Comptroller of the Currency records “Formal Agreement” for First National Bank. The recorded action date is 16 Nov 1999. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- O'Toole, Donna J.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for O'Toole, Donna J.. The recorded action date is 12 Sep 2007.PersonOCC Enforcement Actions
- Houston National BankOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Houston National Bank. The recorded action date is 31 Jan 1990.OrganizationOCC Enforcement Actions
- Flanders, Gary W.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Flanders, Gary W.. The recorded action date is 24 Dec 1996.PersonOCC Enforcement Actions
- American Investment Bank, National AssociationOffice of the Comptroller of the Currency records “Formal Agreement” for American Investment Bank, National Association. The recorded action date is 14 Feb 2003. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- CfsbankOffice of the Comptroller of the Currency records “Formal Agreement” for Cfsbank. The recorded action date is 12 Mar 2019. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Richardson, Charles A.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Richardson, Charles A.. The recorded action date is 26 Aug 1994.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.