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
- ABN AMRO Mortgage Group, Inc.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for ABN AMRO Mortgage Group, Inc.. The recorded action date is 30 Dec 2005.OrganizationOCC Enforcement Actions
- TIAA-CREF Trust Company FSBOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for TIAA-CREF Trust Company FSB. The recorded action date is 28 Jun 2013. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Doha BankOffice of the Comptroller of the Currency records “Formal Agreement” for Doha Bank. The recorded action date is 16 Nov 1999. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Fish, Eileen B.Office of the Comptroller of the Currency records “Notice of Charges” for Fish, Eileen B.. The recorded action date is 13 Nov 2009. This source entry is excluded from current screening matches.PersonOCC Enforcement Actions
- Bush, Elsa L.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Bush, Elsa L.. The recorded action date is 17 Dec 2015.PersonOCC Enforcement Actions
- Lu, AmyOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Lu, Amy. The recorded action date is 28 Oct 2022.PersonOCC Enforcement Actions
- Brooker, Kenneth R.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Brooker, Kenneth R.. The recorded action date is 4 Nov 2005.PersonOCC Enforcement Actions
- Douglas, DentonOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Douglas, Denton. The recorded action date is 8 Jan 2021.PersonOCC Enforcement Actions
- King, RonaldOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for King, Ronald. The recorded action date is 27 May 1992.PersonOCC Enforcement Actions
- Gladewater National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Gladewater National Bank. The recorded action date is 31 Jul 2003. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Webster Bank, National AssociationOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Webster Bank, National Association. The recorded action date is 16 Jan 2007.OrganizationOCC Enforcement Actions
- Walters, DebraOffice of the Comptroller of the Currency records “1829 Prohibition Notification” for Walters, Debra. The recorded action date is 16 May 2025.PersonOCC Enforcement Actions
- Community National Bank of TennesseeOffice of the Comptroller of the Currency records “Formal Agreement” for Community National Bank of Tennessee. The recorded action date is 20 Sep 2000. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Riverwood BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Riverwood Bank. The recorded action date is 6 Dec 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Hause, Jerome M.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Hause, Jerome M.. The recorded action date is 22 Dec 1992.PersonOCC Enforcement Actions
- Henry, LaceyOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Henry, Lacey. The recorded action date is 4 Jun 2025.PersonOCC Enforcement Actions
- The Farmers National Bank of WinfieldOffice of the Comptroller of the Currency records “Formal Agreement” for The Farmers National Bank of Winfield. The recorded action date is 16 Dec 2002. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- James, KennethOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for James, Kenneth. The recorded action date is 27 Dec 2006.PersonOCC Enforcement Actions
- Freitag, F. LouisOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Freitag, F. Louis. The recorded action date is 15 Mar 1991.PersonOCC Enforcement Actions
- Levine, JeffreyOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Levine, Jeffrey. The recorded action date is 24 Mar 2010.PersonOCC Enforcement Actions
- Johnson, April K.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Johnson, April K.. The recorded action date is 29 Jul 2015.PersonOCC Enforcement Actions
- Gregory, DonaldOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Gregory, Donald. The recorded action date is 25 Jun 1993.PersonOCC Enforcement Actions
- Henning, John F.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Henning, John F.. The recorded action date is 8 Jun 1994.PersonOCC Enforcement Actions
- Marble Falls National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Marble Falls National Bank. The recorded action date is 11 Feb 1987. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Costalas, Constantinos I.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Costalas, Constantinos I.. The recorded action date is 13 Oct 1995.PersonOCC Enforcement Actions
- Montgomery National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Montgomery National Bank. The recorded action date is 22 Jan 1992. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Lara, DeannaOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Lara, Deanna. The recorded action date is 2 Mar 1997.PersonOCC Enforcement Actions
- Stein, VictorOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Stein, Victor. The recorded action date is 18 Nov 1991.PersonOCC Enforcement Actions
- Commercebank, N. A.Office of the Comptroller of the Currency records “Formal Agreement” for Commercebank, N. A.. The recorded action date is 12 Nov 1992. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Moore, GeraldineOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Moore, Geraldine. The recorded action date is 6 Mar 2019.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.