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
- Morgan, Timothy S.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Morgan, Timothy S.. The recorded action date is 17 Sep 2009.PersonOCC Enforcement Actions
- Malvern Federal Savings BankOffice of the Comptroller of the Currency records “Formal Agreement” for Malvern Federal Savings Bank. The recorded action date is 25 Oct 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Universal National BankOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Universal National Bank. The recorded action date is 25 Sep 1991.OrganizationOCC Enforcement Actions
- The First National Bank Of HermonOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for The First National Bank Of Hermon. The recorded action date is 17 Sep 1990. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Weber, Jamai W.Office of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Weber, Jamai W.. The recorded action date is 14 Nov 1995. This source entry is excluded from current screening matches.PersonOCC Enforcement Actions
- Wood, Mike T.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Wood, Mike T.. The recorded action date is 1 Nov 1989.PersonOCC Enforcement Actions
- Hurley, FrancesOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Hurley, Frances. The recorded action date is 24 Nov 1999.PersonOCC Enforcement Actions
- California International Bank, A National Banking AssociationOffice of the Comptroller of the Currency records “Formal Agreement” for California International Bank, A National Banking Association. The recorded action date is 18 Mar 2021. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- American Investors Bank and MortgageOffice of the Comptroller of the Currency records “Formal Agreement” for American Investors Bank and Mortgage. The recorded action date is 17 Apr 2017. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Armed Forces 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 Armed Forces Bank, National Association. The recorded action date is 14 Dec 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Cavallari, Augustus I.Office of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Cavallari, Augustus I.. The recorded action date is 19 Aug 1996.PersonOCC Enforcement Actions
- Peoples National BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Peoples National Bank. The recorded action date is 27 Aug 2009. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Radcliff, Deborah D.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Radcliff, Deborah D.. The recorded action date is 26 Jun 2014.PersonOCC Enforcement Actions
- First Wisconsin National Bank Of MilwaukeeOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for First Wisconsin National Bank Of Milwaukee. The recorded action date is 17 Jan 1992.OrganizationOCC Enforcement Actions
- Florida Capital Bank, National AssociationOffice of the Comptroller of the Currency records “Capital Directive” for Florida Capital Bank, National Association. The recorded action date is 1 Sep 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Albany Bank & Trust, National AssociationOffice of the Comptroller of the Currency records “Formal Agreement” for Albany Bank & Trust, National Association. The recorded action date is 27 Jul 2006. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Howard, Katherine S.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Howard, Katherine S.. The recorded action date is 8 Jun 2006.PersonOCC Enforcement Actions
- Ruse, Gary E.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Ruse, Gary E.. The recorded action date is 31 Mar 2005.PersonOCC Enforcement Actions
- Wilson, MikeOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Wilson, Mike. The recorded action date is 16 Nov 1992.PersonOCC Enforcement Actions
- National Bank of New York CityOffice of the Comptroller of the Currency records “Formal Agreement” for National Bank of New York City. The recorded action date is 13 Jul 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Lauder, WilmaOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Lauder, Wilma. The recorded action date is 8 Jun 2005.PersonOCC Enforcement Actions
- Consumer National BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Consumer National Bank. The recorded action date is 28 Oct 1992. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Lam, CheungOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Lam, Cheung. The recorded action date is 16 Oct 2023.PersonOCC Enforcement Actions
- Deuel County National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Deuel County National Bank. The recorded action date is 15 Oct 1997. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Alaimo, James J.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Alaimo, James J.. The recorded action date is 30 Jul 1992.PersonOCC Enforcement Actions
- First National Bank of GriffinOffice 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 Griffin. The recorded action date is 10 Nov 2009. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Diamond Bank, FSBOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Diamond Bank, FSB. The recorded action date is 24 Sep 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Cumberland Valley National Bank & Trust CompanyOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Cumberland Valley National Bank & Trust Company. The recorded action date is 24 Jan 2003.OrganizationOCC Enforcement Actions
- Sterr, Ronald L.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Sterr, Ronald L.. The recorded action date is 19 Aug 1998.PersonOCC Enforcement Actions
- Whitaker, ElmerOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Whitaker, Elmer. The recorded action date is 1 Apr 2003.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.