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.
- Latest successful check
- Our refresh schedule
- Every 24 hours
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
- Scharwz, LloydOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Scharwz, Lloyd. The recorded action date is 27 Jan 1993.PersonOCC Enforcement Actions
- Dascal, CharlesOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Dascal, Charles. The recorded action date is 4 Jun 1993.PersonOCC Enforcement Actions
- Farmers And Merchants National BankOffice of the Comptroller of the Currency records “Prompt Corrective Action (PCA) Directive” for Farmers And Merchants National Bank. The recorded action date is 24 Mar 1993. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Riverside National Bank of FloridaOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Riverside National Bank of Florida. The recorded action date is 10 Nov 2009. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Simpson, MarthaOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Simpson, Martha. The recorded action date is 2 Aug 1991.PersonOCC Enforcement Actions
- Fox, Mark E.Office of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Fox, Mark E.. The recorded action date is 10 Sep 2009.PersonOCC Enforcement Actions
- McCowan, DenverOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for McCowan, Denver. The recorded action date is 27 Dec 2006.PersonOCC Enforcement Actions
- Fraser, Charles D.Office of the Comptroller of the Currency records “Securities Enforcement Action” for Fraser, Charles D.. The recorded action date is 30 Aug 1994.PersonOCC Enforcement Actions
- Garza, RodrigoOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Garza, Rodrigo. The recorded action date is 16 Apr 2018.PersonOCC Enforcement Actions
- Plack, James E.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Plack, James E.. The recorded action date is 17 Dec 2015.PersonOCC Enforcement Actions
- Frigo, DavidOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Frigo, David. The recorded action date is 16 Dec 1995.PersonOCC Enforcement Actions
- Sanders, CharlesOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Sanders, Charles. The recorded action date is 15 Mar 2016.PersonOCC Enforcement Actions
- Smith, Steve E.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Smith, Steve E.. The recorded action date is 6 May 1991.PersonOCC Enforcement Actions
- Capital One Bank (USA), National AssociationOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Capital One Bank (USA), National Association. The recorded action date is 17 Jul 2012. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Stager, Randolph P.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Stager, Randolph P.. The recorded action date is 14 Aug 2001.PersonOCC Enforcement Actions
- Julian, DavidOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Julian, David. The recorded action date is 25 Apr 2025.PersonOCC Enforcement Actions
- Sequoia National BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Sequoia National Bank. The recorded action date is 4 Mar 1992. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Cooke, J.F.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Cooke, J.F.. The recorded action date is 27 Dec 1989.PersonOCC Enforcement Actions
- American Independent Bank, N.A.Office of the Comptroller of the Currency records “Formal Agreement” for American Independent Bank, N.A.. The recorded action date is 28 Jul 1998. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Valley National BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Valley National Bank. The recorded action date is 5 May 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Owens, Audrey B.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Owens, Audrey B.. The recorded action date is 14 Dec 1990.PersonOCC Enforcement Actions
- Clare, DorisOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Clare, Doris. The recorded action date is 3 Nov 2016.PersonOCC Enforcement Actions
- Perry, Peyton F.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Perry, Peyton F.. The recorded action date is 22 Dec 1992.PersonOCC Enforcement Actions
- Mid-Southern Savings Bank, FSBOffice of the Comptroller of the Currency records “Formal Agreement” for Mid-Southern Savings Bank, FSB. The recorded action date is 17 Apr 2013. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- United Mercantile Bank And Trust CompanyOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for United Mercantile Bank And Trust Company. The recorded action date is 28 Feb 1990. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Western National BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Western National Bank. The recorded action date is 5 May 1992. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Orona, Kevin JayOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Orona, Kevin Jay. The recorded action date is 11 Oct 2018.PersonOCC Enforcement Actions
- Brown, JacquelineOffice of the Comptroller of the Currency records “Notice of Charges” for Brown, Jacqueline. The recorded action date is 21 Jul 2021. This source entry is excluded from current screening matches.PersonOCC Enforcement Actions
- Rogers, Larry K.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Rogers, Larry K.. The recorded action date is 31 Aug 1990.PersonOCC Enforcement Actions
- Yesh, Kathy A.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Yesh, Kathy A.. The recorded action date is 3 Dec 2007.PersonOCC Enforcement Actions
Screen customers against the US OCC Enforcement Actions
Start free250 free live screenings • One lifetime allowance • API + dashboard • No credit card
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.
Continue exploring
Source discovery reference: OpenSanctions source catalog, captured . Import and record counts above come from SanctionsKit.