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 “Civil Money Penalty (CMP)” for Continental National Bank. The recorded action date is 17 Jul 1990.OrganizationOCC Enforcement Actions
- Ward, HenryOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Ward, Henry. The recorded action date is 3 Dec 1991.PersonOCC Enforcement Actions
- Cochran, RobertOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Cochran, Robert. The recorded action date is 24 Oct 1989.PersonOCC Enforcement Actions
- Mazzotta, LarryOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Mazzotta, Larry. The recorded action date is 22 Feb 1993.PersonOCC Enforcement Actions
- Continental National Bank of MiamiOffice of the Comptroller of the Currency records “Formal Agreement” for Continental National Bank of Miami. The recorded action date is 18 Jan 2000. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Coronel, AldoOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Coronel, Aldo. The recorded action date is 4 Jun 1993.PersonOCC Enforcement Actions
- Alaska Pacific BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Alaska Pacific Bank. The recorded action date is 28 Sep 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Soltis, CharlesOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Soltis, Charles. The recorded action date is 1 Dec 1993.PersonOCC Enforcement Actions
- Fiqueroa, Arturo A.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Fiqueroa, Arturo A.. The recorded action date is 27 Jan 1993.PersonOCC Enforcement Actions
- Kessler, LisaOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Kessler, Lisa. The recorded action date is 7 Feb 2014.PersonOCC Enforcement Actions
- Geren, Joseph G.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Geren, Joseph G.. The recorded action date is 5 Oct 1990.PersonOCC Enforcement Actions
- Cartright, Penelope JoyOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Cartright, Penelope Joy. The recorded action date is 31 Jul 2003.PersonOCC Enforcement Actions
- Rahjes, Doyle D.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Rahjes, Doyle D.. The recorded action date is 11 Jun 2003.PersonOCC Enforcement Actions
- Homeowners Loan Corp.Office of the Comptroller of the Currency records “Formal Agreement” for Homeowners Loan Corp.. The recorded action date is 3 Nov 2005. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Prichard, David R.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Prichard, David R.. The recorded action date is 15 Aug 2007.PersonOCC Enforcement Actions
- Rozhik, RichardOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Rozhik, Richard. The recorded action date is 17 Feb 2012.PersonOCC Enforcement Actions
- Bank of Communications Co., Ltd - New York BranchOffice of the Comptroller of the Currency records “Formal Agreement” for Bank of Communications Co., Ltd - New York Branch. The recorded action date is 4 Feb 2003. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Mercantile Bank Of St. Louis, N.A.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Mercantile Bank Of St. Louis, N.A.. The recorded action date is 17 Jan 1992.OrganizationOCC Enforcement Actions
- Rockport National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Rockport National Bank. The recorded action date is 13 Aug 1991. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Nowak, MichaelOffice of the Comptroller of the Currency records “Suspension Order for Criminal Conduct” for Nowak, Michael. The recorded action date is 7 Nov 2019.PersonOCC Enforcement Actions
- Southbank, A 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 Southbank, A Federal Savings Bank. The recorded action date is 28 Mar 2012. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Smith, GreggOffice of the Comptroller of the Currency records “Suspension Order for Criminal Conduct” for Smith, Gregg. The recorded action date is 7 Nov 2019.PersonOCC Enforcement Actions
- Hawe, KieranOffice of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Hawe, Kieran. The recorded action date is 1 Dec 1999.PersonOCC Enforcement Actions
- American Security Bank N.A.Office of the Comptroller of the Currency records “Formal Agreement” for American Security Bank N.A.. The recorded action date is 15 Jan 1991. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Hawe, KieranOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Hawe, Kieran. The recorded action date is 1 Dec 1999.PersonOCC Enforcement Actions
- White, Lori S.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for White, Lori S.. The recorded action date is 8 Apr 2002.PersonOCC Enforcement Actions
- Nix, Jimmy E.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Nix, Jimmy E.. The recorded action date is 3 Apr 1997.PersonOCC Enforcement Actions
- Sunflower Bank, National AssociationOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Sunflower Bank, National Association. The recorded action date is 10 Aug 1999.OrganizationOCC Enforcement Actions
- Bankmeridian, National AssociationOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Bankmeridian, National Association. The recorded action date is 16 Sep 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Rod, Robert R.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Rod, Robert R.. The recorded action date is 21 Dec 2000.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.