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
- Continental National BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Continental National Bank. The recorded action date is 18 Jul 2017. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Alegria, Jose E.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Alegria, Jose E.. The recorded action date is 2 Feb 1998.PersonOCC Enforcement Actions
- Catucci, Vito P.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Catucci, Vito P.. The recorded action date is 27 Apr 1993.PersonOCC Enforcement Actions
- Zaldivar, MyriamOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Zaldivar, Myriam. The recorded action date is 25 Apr 2008.PersonOCC Enforcement Actions
- Derrickson, RalphOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Derrickson, Ralph. The recorded action date is 23 Aug 2023.PersonOCC Enforcement Actions
- Carey, Sidney R.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Carey, Sidney R.. The recorded action date is 11 Aug 2003.PersonOCC Enforcement Actions
- Far East National BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Far East National Bank. The recorded action date is 9 Mar 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Noyes, Alan W.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Noyes, Alan W.. The recorded action date is 5 Sep 1991.PersonOCC Enforcement Actions
- Independence National BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Independence National Bank. The recorded action date is 14 Nov 2011. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Colorado Federal Savings BankOffice of the Comptroller of the Currency records “Formal Agreement” for Colorado Federal Savings Bank. The recorded action date is 3 Oct 2014. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Mountain West Bank Of Helena, N.A.Office of the Comptroller of the Currency records “Formal Agreement” for Mountain West Bank Of Helena, N.A.. The recorded action date is 1 Sep 1992. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Collins, John B.Office of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Collins, John B.. The recorded action date is 15 Aug 2007.PersonOCC Enforcement Actions
- Anna-Jonesboro National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Anna-Jonesboro National Bank. The recorded action date is 24 Aug 2021. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Desembrana, NormanOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Desembrana, Norman. The recorded action date is 14 Mar 2024.PersonOCC Enforcement Actions
- Wartinbee, James R.Office of the Comptroller of the Currency records “Securities Enforcement Action” for Wartinbee, James R.. The recorded action date is 19 Aug 1991. This source entry is excluded from current screening matches.PersonOCC Enforcement Actions
- Mellon Bank, N.A.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Mellon Bank, N.A.. The recorded action date is 17 Jan 1992.OrganizationOCC Enforcement Actions
- Union Bank Of California, National AssociationOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Union Bank Of California, National Association. The recorded action date is 15 Jan 1992.OrganizationOCC Enforcement Actions
- Christlieb, ThomasOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Christlieb, Thomas. The recorded action date is 29 Jan 2007.PersonOCC Enforcement Actions
- San Diego National BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for San Diego National Bank. The recorded action date is 24 Aug 2009. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- First Tennessee Bank National AssociationOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for First Tennessee Bank National Association. The recorded action date is 25 Mar 2009.OrganizationOCC Enforcement Actions
- Luo, Jia ShuOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Luo, Jia Shu. The recorded action date is 3 Sep 2002.PersonOCC Enforcement Actions
- First National Bank Of Bonita SpringsOffice of the Comptroller of the Currency records “Formal Agreement” for First National Bank Of Bonita Springs. The recorded action date is 30 Nov 1990. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- First National Bank & TrustOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for First National Bank & Trust. The recorded action date is 2 Sep 2003.OrganizationOCC Enforcement Actions
- Garcia, RobertoOffice of the Comptroller of the Currency records “Notice of Charges” for Garcia, Roberto. The recorded action date is 29 Jul 2024. This source entry is excluded from current screening matches.PersonOCC Enforcement Actions
- Burleson, MelaniOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Burleson, Melani. The recorded action date is 18 Dec 2008.PersonOCC Enforcement Actions
- Liberty Savings Bank, FSBOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Liberty Savings Bank, FSB. The recorded action date is 5 Aug 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- The First National Bank of FrederickOffice of the Comptroller of the Currency records “Formal Agreement” for The First National Bank of Frederick. The recorded action date is 16 Dec 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- The First National Bank of DavisOffice of the Comptroller of the Currency records “Prompt Corrective Action (PCA) Directive” for The First National Bank of Davis. The recorded action date is 2 Mar 2011. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Delanco Federal Savings BankOffice of the Comptroller of the Currency records “Formal Agreement” for Delanco Federal Savings Bank. The recorded action date is 21 Nov 2012. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- The Lyons National BankOffice of the Comptroller of the Currency records “Formal Agreement” for The Lyons National Bank. The recorded action date is 21 Nov 2005. 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.