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 22 Jan 1992. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Union National Community BankOffice of the Comptroller of the Currency records “Formal Agreement” for Union National Community Bank. The recorded action date is 27 Aug 2009. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Prigge, William F.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Prigge, William F.. The recorded action date is 21 Feb 1990.PersonOCC Enforcement Actions
- First National BankOffice of the Comptroller of the Currency records “Formal Agreement” for First National Bank. The recorded action date is 18 Jan 2001. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Community State Bank, National AssociationOffice of the Comptroller of the Currency records “GLBA Agreement” for Community State Bank, National Association. The recorded action date is 19 May 2009. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Bank of New York Trust Company of Florida, N.A., TheOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Bank of New York Trust Company of Florida, N.A., The. The recorded action date is 24 May 1990.OrganizationOCC Enforcement Actions
- The Morris County National Bank of NaplesOffice of the Comptroller of the Currency records “Formal Agreement” for The Morris County National Bank of Naples. The recorded action date is 9 Oct 2018. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Huron National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Huron National Bank. The recorded action date is 29 Jun 2017. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Russ Anderson, ClaudiaOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Russ Anderson, Claudia. The recorded action date is 22 Oct 2025.PersonOCC Enforcement Actions
- Traxler, Donald A.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Traxler, Donald A.. The recorded action date is 18 Feb 1994.PersonOCC Enforcement Actions
- The National Capital Bank of WashingtonOffice of the Comptroller of the Currency records “Formal Agreement” for The National Capital Bank of Washington. The recorded action date is 25 Aug 2015. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Hawkins, TommyOffice of the Comptroller of the Currency records “1829 Prohibition Notification” for Hawkins, Tommy. The recorded action date is 3 Jun 2026.PersonOCC Enforcement Actions
- Clemens, Thomas N.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Clemens, Thomas N.. The recorded action date is 9 Sep 1991.PersonOCC Enforcement Actions
- Riggs 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 Riggs Bank National Association. The recorded action date is 13 May 2004. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Bank of America, National AssociationOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Bank of America, National Association. The recorded action date is 29 Jun 2015. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- First National BankOffice of the Comptroller of the Currency records “Formal Agreement” for First National Bank. The recorded action date is 23 Jul 2009. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Freitag, F. LouisOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Freitag, F. Louis. The recorded action date is 1 May 1991.PersonOCC Enforcement Actions
- First National Bank Of DaytonOffice 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 Dayton. The recorded action date is 12 Dec 1989. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Neighborhood National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Neighborhood National Bank. The recorded action date is 19 Nov 2001. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- JPMorgan Chase 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 JPMorgan Chase Bank, National Association. The recorded action date is 18 Sep 2013. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Peoples National BankOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Peoples National Bank. The recorded action date is 29 Jun 1990.OrganizationOCC Enforcement Actions
- The Upstate National BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for The Upstate National Bank. The recorded action date is 24 Jun 2008. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Western Security Bank, N.A.Office of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Western Security Bank, N.A.. The recorded action date is 12 Mar 1992. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Atlantic Coast BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Atlantic Coast Bank. The recorded action date is 10 Aug 2012. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- The First National Bank - Fox ValleyOffice of the Comptroller of the Currency records “Formal Agreement” for The First National Bank - Fox Valley. The recorded action date is 14 Dec 2006. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Penner, JosephOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Penner, Joseph. The recorded action date is 30 Nov 1990.PersonOCC Enforcement Actions
- Serlo, LarryOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Serlo, Larry. The recorded action date is 9 Sep 2014.PersonOCC Enforcement Actions
- National Bank of PetersburgOffice of the Comptroller of the Currency records “Formal Agreement” for National Bank of Petersburg. The recorded action date is 15 Jan 2004. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Hill, Kaye G.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Hill, Kaye G.. The recorded action date is 13 Dec 2000.PersonOCC Enforcement Actions
- Rodrigues, JacintoOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Rodrigues, Jacinto. The recorded action date is 4 Dec 2006.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.