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
- Lewis, Steven R.Office of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Lewis, Steven R.. The recorded action date is 25 Aug 2016.PersonOCC Enforcement Actions
- Delagarza, ValerieOffice of the Comptroller of the Currency records “1829 Prohibition Notification” for Delagarza, Valerie. The recorded action date is 18 Nov 2025.PersonOCC Enforcement Actions
- Green, CarrollOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Green, Carroll. The recorded action date is 5 Aug 2019.PersonOCC Enforcement Actions
- Schimmele, DavidOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Schimmele, David. The recorded action date is 6 Dec 2007.PersonOCC Enforcement Actions
- Garcia, FrankOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Garcia, Frank. The recorded action date is 22 Jul 2004.PersonOCC Enforcement Actions
- First National Bank of Chicago, TheOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for First National Bank of Chicago, The. The recorded action date is 9 Mar 1999.OrganizationOCC Enforcement Actions
- Cox, Jr., WalterOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Cox, Jr., Walter. The recorded action date is 13 May 2021.PersonOCC Enforcement Actions
- Rhnb National Bank Of North CarolinaOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Rhnb National Bank Of North Carolina. The recorded action date is 15 Aug 1991.OrganizationOCC Enforcement Actions
- Stark, RafealOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Stark, Rafeal. The recorded action date is 27 Apr 2022.PersonOCC Enforcement Actions
- UMB 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 UMB Bank, National Association. The recorded action date is 1 Aug 2017. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Flemington National Bank and Trust Company, TheOffice of the Comptroller of the Currency records “Formal Agreement” for Flemington National Bank and Trust Company, The. The recorded action date is 16 Oct 1991. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- The First National Bank of WamegoOffice of the Comptroller of the Currency records “Formal Agreement” for The First National Bank of Wamego. The recorded action date is 18 Sep 2002. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Sloan, RobertOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Sloan, Robert. The recorded action date is 13 Dec 2018.PersonOCC Enforcement Actions
- Barnes, Jack R.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Barnes, Jack R.. The recorded action date is 1 Oct 1992.PersonOCC Enforcement Actions
- Ellison, Peter K.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Ellison, Peter K.. The recorded action date is 28 May 2014.PersonOCC Enforcement Actions
- Cherry, SamanthaOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Cherry, Samantha. The recorded action date is 7 Feb 2024.PersonOCC Enforcement Actions
- Jack Henry & AssociatesOffice of the Comptroller of the Currency records “Formal Agreement” for Jack Henry & Associates. The recorded action date is 9 Dec 2013. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Fullerton, TimothyOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Fullerton, Timothy. The recorded action date is 1 Aug 2006.PersonOCC Enforcement Actions
- BNB Bank, National AssociationOffice of the Comptroller of the Currency records “Formal Agreement” for BNB Bank, National Association. The recorded action date is 18 Dec 2009. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- PNC 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 PNC Bank, National Association. The recorded action date is 13 Apr 2011. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Independence Federal Savings BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Independence Federal Savings Bank. The recorded action date is 23 Feb 2011. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- JPMorgan Bank and Trust Company, National AssociationOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for JPMorgan Bank and Trust Company, National Association. The recorded action date is 8 Jul 2015.OrganizationOCC Enforcement Actions
- United Bank For Africa PLCOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for United Bank For Africa PLC. The recorded action date is 18 Jan 2007. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Bernard, JamesOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Bernard, James. The recorded action date is 14 Mar 1993.PersonOCC Enforcement Actions
- The First National Bank of Grant ParkOffice 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 Grant Park. The recorded action date is 28 Nov 2011. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Verbeck, Margery A.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Verbeck, Margery A.. The recorded action date is 31 Jul 1998.PersonOCC Enforcement Actions
- Herrington, Donna K.Office of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Herrington, Donna K.. The recorded action date is 15 Jan 1992.PersonOCC Enforcement Actions
- First National Bank Of ManateeOffice of the Comptroller of the Currency records “Formal Agreement” for First National Bank Of Manatee. The recorded action date is 5 Aug 1992. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- The First National Bank Of GatlinburgOffice of the Comptroller of the Currency records “Formal Agreement” for The First National Bank Of Gatlinburg. The recorded action date is 27 Oct 1994. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Hartwell, Daniel J.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Hartwell, Daniel J.. The recorded action date is 7 Dec 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.