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
- Canon National BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Canon National Bank. The recorded action date is 24 Nov 2009. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Garza, OscarOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Garza, Oscar. The recorded action date is 2 Oct 2017.PersonOCC Enforcement Actions
- Dorsey, EzekielOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Dorsey, Ezekiel. The recorded action date is 26 Jun 2026.PersonOCC Enforcement Actions
- Pickens, Joe H.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Pickens, Joe H.. The recorded action date is 4 Apr 1994.PersonOCC Enforcement Actions
- The First National Bank Of AnnaOffice of the Comptroller of the Currency records “Formal Agreement” for The First National Bank Of Anna. The recorded action date is 12 Jun 1991. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- First National Bank Of LouisvilleOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for First National Bank Of Louisville. The recorded action date is 17 Jan 1992.OrganizationOCC Enforcement Actions
- Hilton Head Bank And Trust Company, National AssociationOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Hilton Head Bank And Trust Company, National Association. The recorded action date is 30 Apr 1991. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Union Bank of Arizona, National AssociationOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Union Bank of Arizona, National Association. The recorded action date is 31 Jul 2002. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Regent National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Regent National Bank. The recorded action date is 10 Oct 1996. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Ulrich, DouglasOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Ulrich, Douglas. The recorded action date is 14 Sep 2015.PersonOCC Enforcement Actions
- First National Bank, GrafordOffice of the Comptroller of the Currency records “Formal Agreement” for First National Bank, Graford. The recorded action date is 1 Oct 2004. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Baresel, LarryOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Baresel, Larry. The recorded action date is 27 Nov 1989.PersonOCC Enforcement Actions
- Tolstedt, CarrieOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Tolstedt, Carrie. The recorded action date is 9 Mar 2023.PersonOCC Enforcement Actions
- Mulder, William BrianOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Mulder, William Brian. The recorded action date is 3 Sep 2020.PersonOCC Enforcement Actions
- Wroble, Daniel R.Office of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Wroble, Daniel R.. The recorded action date is 30 Apr 1998.PersonOCC Enforcement Actions
- Harris, JohnOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Harris, John. The recorded action date is 9 Sep 1993.PersonOCC Enforcement Actions
- Rowe, CynthiaOffice of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Rowe, Cynthia. The recorded action date is 28 Apr 2003.PersonOCC Enforcement Actions
- Abshire, Samantha D.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Abshire, Samantha D.. The recorded action date is 5 Mar 2010.PersonOCC Enforcement Actions
- Shephard, DonaldOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Shephard, Donald. The recorded action date is 10 Nov 2011.PersonOCC Enforcement Actions
- Barrington, JamesOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Barrington, James. The recorded action date is 24 Feb 2000.PersonOCC Enforcement Actions
- The First National Bank Of NewellOffice 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 Newell. The recorded action date is 25 Jun 1991. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Parker, Dr. Carlos DaleOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Parker, Dr. Carlos Dale. The recorded action date is 25 Jun 1993.PersonOCC Enforcement Actions
- Bank One, Texas, N.A.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Bank One, Texas, N.A.. The recorded action date is 24 Jan 1992.OrganizationOCC Enforcement Actions
- Amcore Bank, N.A., Rock River ValleyOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Amcore Bank, N.A., Rock River Valley. The recorded action date is 31 Dec 1997.OrganizationOCC Enforcement Actions
- Erakat, NapelaOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Erakat, Napela. The recorded action date is 17 Dec 2019.PersonOCC Enforcement Actions
- The Milford National Bank and Trust CompanyOffice of the Comptroller of the Currency records “Formal Agreement” for The Milford National Bank and Trust Company. The recorded action date is 29 Oct 2008. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Citibank, National AssociationOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Citibank, National Association. The recorded action date is 10 Oct 2017.OrganizationOCC Enforcement Actions
- Kasper, John B.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Kasper, John B.. The recorded action date is 2 Jul 1993.PersonOCC Enforcement Actions
- Gunter, James R.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Gunter, James R.. The recorded action date is 22 Feb 1990.PersonOCC Enforcement Actions
- Gisbert, AntonioOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Gisbert, Antonio. The recorded action date is 3 Oct 1994.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.