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
- Waller, Morris I.Office of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Waller, Morris I.. The recorded action date is 20 Dec 1989. This source entry is excluded from current screening matches.PersonOCC Enforcement Actions
- Burch, AnthonyOffice of the Comptroller of the Currency records “1829 Prohibition Notification” for Burch, Anthony. The recorded action date is 2 Oct 2023.PersonOCC Enforcement Actions
- Kim, Sung ChuOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Kim, Sung Chu. The recorded action date is 21 Oct 1993.PersonOCC Enforcement Actions
- Certusbank, National AssociationOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Certusbank, National Association. The recorded action date is 6 Nov 2014. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Campbell, Laura GormanOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Campbell, Laura Gorman. The recorded action date is 18 Dec 2002.PersonOCC Enforcement Actions
- Laxman, DakshaOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Laxman, Daksha. The recorded action date is 24 Aug 2017.PersonOCC Enforcement Actions
- Citic Ka Wah Bank LimitedOffice of the Comptroller of the Currency records “Formal Agreement” for Citic Ka Wah Bank Limited. The recorded action date is 8 Jan 2007. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- MidWest Bank, National AssociationOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for MidWest Bank, National Association. The recorded action date is 13 Oct 2006.OrganizationOCC Enforcement Actions
- Yeates, J. OwenOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Yeates, J. Owen. The recorded action date is 9 May 1990.PersonOCC Enforcement Actions
- Wallrath, DanOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Wallrath, Dan. The recorded action date is 18 Apr 1994.PersonOCC Enforcement Actions
- Espiritu, ElenaOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Espiritu, Elena. The recorded action date is 8 Sep 1998.PersonOCC Enforcement Actions
- Sovereign BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Sovereign Bank. The recorded action date is 26 Jan 2012. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Bank of ChinaOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Bank of China. The recorded action date is 23 Oct 2003. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Blanks, Danielle ShereeOffice of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Blanks, Danielle Sheree. The recorded action date is 5 Dec 1997.PersonOCC Enforcement Actions
- Barbieri, Richard D.Office of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Barbieri, Richard D.. The recorded action date is 27 Apr 1993.PersonOCC Enforcement Actions
- Ortwine, Frank D.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Ortwine, Frank D.. The recorded action date is 14 Dec 2011.PersonOCC Enforcement Actions
- Chu, JaneOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Chu, Jane. The recorded action date is 27 Jun 2012.PersonOCC Enforcement Actions
- Weaver, JamesOffice of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Weaver, James. The recorded action date is 6 Aug 1993.PersonOCC Enforcement Actions
- Olson, Donald D.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Olson, Donald D.. The recorded action date is 2 Nov 2006.PersonOCC Enforcement Actions
- Masferrer, EduardoOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Masferrer, Eduardo. The recorded action date is 22 Dec 2003.PersonOCC Enforcement Actions
- Helmick, JamesOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Helmick, James. The recorded action date is 11 Jul 1991.PersonOCC Enforcement Actions
- Leal, EduardoOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Leal, Eduardo. The recorded action date is 25 Oct 2017.PersonOCC Enforcement Actions
- First National Bank In PawhuskaOffice of the Comptroller of the Currency records “Formal Agreement” for First National Bank In Pawhuska. The recorded action date is 12 Sep 1997. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Sims, BurtonOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Sims, Burton. The recorded action date is 7 Jun 1993.PersonOCC Enforcement Actions
- International Bank of Miami, National AssociationOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for International Bank of Miami, National Association. The recorded action date is 12 Feb 2007.OrganizationOCC Enforcement Actions
- Rackley, JackOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Rackley, Jack. The recorded action date is 27 Nov 1989.PersonOCC Enforcement Actions
- Consolidated Bank, N.A.Office of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Consolidated Bank, N.A.. The recorded action date is 8 Jun 1995.OrganizationOCC Enforcement Actions
- Citizens Bank, National AssociationOffice of the Comptroller of the Currency records “Formal Agreement” for Citizens Bank, National Association. The recorded action date is 28 Apr 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Bankstar, National AssociationOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Bankstar, National Association. The recorded action date is 6 Feb 1991. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- The First National Bank & Trust Company of BeatriceOffice 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 & Trust Company of Beatrice. The recorded action date is 12 Apr 2002. 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.