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
- Chung, SamOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Chung, Sam. The recorded action date is 22 Sep 2003.PersonOCC Enforcement Actions
- Kaller, StanleyOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Kaller, Stanley. The recorded action date is 22 Dec 1994.PersonOCC Enforcement Actions
- Wubben, JulianOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Wubben, Julian. The recorded action date is 4 Nov 2005.PersonOCC Enforcement Actions
- Channel Islands National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Channel Islands National Bank. The recorded action date is 3 Jun 1993. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Banco Pedroso, National AssociationOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Banco Pedroso, National Association. The recorded action date is 11 Jul 1991. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Johnston, John R.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Johnston, John R.. The recorded action date is 8 Feb 2007.PersonOCC Enforcement Actions
- Dodge, Lawrence KeithOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Dodge, Lawrence Keith. The recorded action date is 17 Oct 2012.PersonOCC Enforcement Actions
- Ceresoli, DonaldOffice of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Ceresoli, Donald. The recorded action date is 11 Nov 1993.PersonOCC 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 3 Aug 2009. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Eagle National BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Eagle National Bank. The recorded action date is 18 Dec 2001. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- McNerney, Thomas M.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for McNerney, Thomas M.. The recorded action date is 5 Sep 1995.PersonOCC Enforcement Actions
- TCF National BankOffice of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for TCF National Bank. The recorded action date is 20 Jul 2018.OrganizationOCC Enforcement Actions
- Verissimo, AugustoOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Verissimo, Augusto. The recorded action date is 4 Dec 2006.PersonOCC Enforcement Actions
- Horne, Michelle V.Office of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Horne, Michelle V.. The recorded action date is 28 Jul 2003.PersonOCC Enforcement Actions
- Mulloy, JamesOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Mulloy, James. The recorded action date is 3 Dec 1991.PersonOCC Enforcement Actions
- Kloster, W.P.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Kloster, W.P.. The recorded action date is 1 Oct 1991.PersonOCC Enforcement Actions
- Pinebank, National AssociationOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Pinebank, National Association. The recorded action date is 25 Jan 2006. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Hunter, Tracie B.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Hunter, Tracie B.. The recorded action date is 15 Aug 2007.PersonOCC Enforcement Actions
- Lamb, R. PatrickOffice of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Lamb, R. Patrick. The recorded action date is 30 Aug 2011.PersonOCC Enforcement Actions
- Stinespring, CharlesOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Stinespring, Charles. The recorded action date is 11 Jul 1991.PersonOCC Enforcement Actions
- Tamayo, RobertOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Tamayo, Robert. The recorded action date is 12 Feb 2020.PersonOCC Enforcement Actions
- Charter One Bank, National AssociationOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Charter One Bank, National Association. The recorded action date is 17 May 2005.OrganizationOCC Enforcement Actions
- First National Bank South DakotaOffice of the Comptroller of the Currency records “Formal Agreement” for First National Bank South Dakota. The recorded action date is 23 Jun 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Chase Bank USA, National AssociationOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Chase Bank USA, National Association. The recorded action date is 8 Jul 2015.OrganizationOCC Enforcement Actions
- Dye, DeborahOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Dye, Deborah. The recorded action date is 21 Jul 2015.PersonOCC Enforcement Actions
- Palm Desert National BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Palm Desert National Bank. The recorded action date is 5 Jan 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- City National Bank Of WashingtonOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for City National Bank Of Washington. The recorded action date is 28 May 1992. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Cia, Brian C.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Cia, Brian C.. The recorded action date is 8 Feb 2000.PersonOCC Enforcement Actions
- Calloway, Robert Q.Office of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Calloway, Robert Q.. The recorded action date is 19 Aug 1996.PersonOCC Enforcement Actions
- First Charter Bank, N.A.Office of the Comptroller of the Currency records “Prompt Corrective Action (PCA) Directive” for First Charter Bank, N.A.. The recorded action date is 15 Jul 1993. 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.