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
- Morris-Coll, John AlexanderOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Morris-Coll, John Alexander. The recorded action date is 18 Aug 1997.PersonOCC Enforcement Actions
- Trans Pacific National BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Trans Pacific National Bank. The recorded action date is 16 Jun 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Richards, JohnOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Richards, John. The recorded action date is 18 Nov 2004.PersonOCC Enforcement Actions
- Greenberg, RichardOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Greenberg, Richard. The recorded action date is 28 Oct 1991.PersonOCC Enforcement Actions
- Bowling, Edward D.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Bowling, Edward D.. The recorded action date is 14 Nov 2005.PersonOCC Enforcement Actions
- Wenger, Terri S.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Wenger, Terri S.. The recorded action date is 18 Jan 2002.PersonOCC Enforcement Actions
- Rossi, ToinetteOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Rossi, Toinette. The recorded action date is 2 Jun 2003.PersonOCC Enforcement Actions
- Swain, Shawna L.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Swain, Shawna L.. The recorded action date is 7 Sep 2017.PersonOCC Enforcement Actions
- First National Bank Of NewtonOffice 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 Newton. The recorded action date is 25 Aug 1997. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Anderson, EricOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Anderson, Eric. The recorded action date is 2 Feb 2011.PersonOCC Enforcement Actions
- Alexionok, LindaOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Alexionok, Linda. The recorded action date is 17 May 2005.PersonOCC Enforcement Actions
- Cherokee 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 Cherokee Bank, National Association. The recorded action date is 29 Apr 2009. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Fulton Bank, National AssociationOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Fulton Bank, National Association. The recorded action date is 18 Sep 2013.OrganizationOCC Enforcement Actions
- Webb, Wendy A.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Webb, Wendy A.. The recorded action date is 19 Mar 2003.PersonOCC Enforcement Actions
- Guldi, James E.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Guldi, James E.. The recorded action date is 25 Jul 2016.PersonOCC Enforcement Actions
- First Illinois National BankOffice of the Comptroller of the Currency records “Formal Agreement” for First Illinois National Bank. The recorded action date is 30 Aug 1999. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Barrett, RicaOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Barrett, Rica. The recorded action date is 14 Jun 2005.PersonOCC Enforcement Actions
- First National Bank Of CommerceOffice of the Comptroller of the Currency records “Securities Enforcement Action” for First National Bank Of Commerce. The recorded action date is 17 Jan 1992. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Wachovia Bank, National AssociationOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Wachovia Bank, National Association. The recorded action date is 12 Mar 2010.OrganizationOCC Enforcement Actions
- Majano, Andres DavidOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Majano, Andres David. The recorded action date is 8 Jun 2020.PersonOCC Enforcement Actions
- Citibank, N.A.Office of the Comptroller of the Currency records “Formal Agreement” for Citibank, N.A.. The recorded action date is 28 Jul 2003. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Dailey, McKinleyOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Dailey, McKinley. The recorded action date is 7 Jun 2019.PersonOCC Enforcement Actions
- Ellanovitz, AdaOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Ellanovitz, Ada. The recorded action date is 29 Oct 1992.PersonOCC Enforcement Actions
- Boutilier, Vicki L.Office of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Boutilier, Vicki L.. The recorded action date is 4 Apr 2003.PersonOCC Enforcement Actions
- Clear Lake National BankOffice of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Clear Lake National Bank. The recorded action date is 7 Nov 2003. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Baker, Richard J.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Baker, Richard J.. The recorded action date is 13 Dec 1993.PersonOCC Enforcement Actions
- Community State 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 Community State Bank, National Association. The recorded action date is 22 Nov 2011. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Just, KenleyOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Just, Kenley. The recorded action date is 27 Oct 2010.PersonOCC Enforcement Actions
- First National Bank Of RotanOffice of the Comptroller of the Currency records “Formal Agreement” for First National Bank Of Rotan. The recorded action date is 16 Nov 1999. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Jones, Jimmie J.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Jones, Jimmie J.. The recorded action date is 1 May 1990.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.