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
- UBS AG Stamford BranchOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for UBS AG Stamford Branch. The recorded action date is 31 May 2018. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Roddy, James D.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Roddy, James D.. The recorded action date is 4 Dec 2009.PersonOCC Enforcement Actions
- Redemann, James J.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Redemann, James J.. The recorded action date is 30 Nov 1998.PersonOCC Enforcement Actions
- Flynn, Michael L.Office of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Flynn, Michael L.. The recorded action date is 3 Jan 2014. This source entry is excluded from current screening matches.PersonOCC Enforcement Actions
- Brannan, StephenOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Brannan, Stephen. The recorded action date is 3 Dec 1991.PersonOCC Enforcement Actions
- Fletcher, Warren D.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Fletcher, Warren D.. The recorded action date is 25 Apr 1994.PersonOCC Enforcement Actions
- Henrichs, ShawnaOffice of the Comptroller of the Currency records “1829 Prohibition Notification” for Henrichs, Shawna. The recorded action date is 26 Aug 2024.PersonOCC Enforcement Actions
- Violette, LuAnnOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Violette, LuAnn. The recorded action date is 7 May 2007.PersonOCC Enforcement Actions
- Guaranty National Bank of TallahasseeOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Guaranty National Bank of Tallahassee. The recorded action date is 10 Jul 2003.OrganizationOCC Enforcement Actions
- Sweet, Matthew D.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Sweet, Matthew D.. The recorded action date is 8 Dec 2015.PersonOCC Enforcement Actions
- Magnuson, Richard E.Office of the Comptroller of the Currency records “Notice of Charges” for Magnuson, Richard E.. The recorded action date is 18 Feb 2010. This source entry is excluded from current screening matches.PersonOCC Enforcement Actions
- Blanton, William R.Office of the Comptroller of the Currency records “Notice of Charges” for Blanton, William R.. The recorded action date is 4 Apr 2016. This source entry is excluded from current screening matches.PersonOCC Enforcement Actions
- First National Bank Of RochesterOffice 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 Rochester. The recorded action date is 9 Jun 1992. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Howard, DawnOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Howard, Dawn. The recorded action date is 9 Aug 2012.PersonOCC Enforcement Actions
- Koppelman, Charles F.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Koppelman, Charles F.. The recorded action date is 14 Feb 1991.PersonOCC Enforcement Actions
- Brady, William T.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Brady, William T.. The recorded action date is 8 Mar 1996.PersonOCC Enforcement Actions
- Smith, James L.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Smith, James L.. The recorded action date is 4 Jun 1991.PersonOCC 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 11 Nov 2014. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Howard, Stacey M.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Howard, Stacey M.. The recorded action date is 26 Jan 1998.PersonOCC Enforcement Actions
- Iles, Herman R.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Iles, Herman R.. The recorded action date is 22 Feb 1990.PersonOCC Enforcement Actions
- Resource Bank, National AssociationOffice of the Comptroller of the Currency records “Formal Agreement” for Resource Bank, National Association. The recorded action date is 11 Feb 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- The National Republic Bank of ChicagoOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for The National Republic Bank of Chicago. The recorded action date is 31 Aug 2013. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Moore, LisaOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Moore, Lisa. The recorded action date is 12 Jul 2019.PersonOCC Enforcement Actions
- Sleepy Hollow National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Sleepy Hollow National Bank. The recorded action date is 6 Apr 2000. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Snider, JackieOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Snider, Jackie. The recorded action date is 13 Mar 2024.PersonOCC Enforcement Actions
- Montemayor, MichaelOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Montemayor, Michael. The recorded action date is 15 Feb 2024.PersonOCC Enforcement Actions
- T Bank, National AssociationOffice of the Comptroller of the Currency records “Formal Agreement” for T Bank, National Association. The recorded action date is 15 Apr 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Heinzelmann, Gerald M.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Heinzelmann, Gerald M.. The recorded action date is 1 Apr 2003.PersonOCC Enforcement Actions
- Gugliotti, FrankOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Gugliotti, Frank. The recorded action date is 20 Mar 1996.PersonOCC Enforcement Actions
- The Citizens National BankOffice of the Comptroller of the Currency records “Formal Agreement” for The Citizens National Bank. The recorded action date is 9 Jun 2009. 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.