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
- Sanders, StephanieOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Sanders, Stephanie. The recorded action date is 16 Apr 2024.PersonOCC Enforcement Actions
- Neises, Richard J.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Neises, Richard J.. The recorded action date is 11 Sep 1991.PersonOCC Enforcement Actions
- Greenfield, Albert N.Office of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Greenfield, Albert N.. The recorded action date is 28 Jun 1996.PersonOCC Enforcement Actions
- Florida Capital Bank, National AssociationOffice of the Comptroller of the Currency records “Formal Agreement” for Florida Capital Bank, National Association. The recorded action date is 13 Apr 2020. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Guaranty BankOffice of the Comptroller of the Currency records “Prompt Corrective Action (PCA) Directive” for Guaranty Bank. The recorded action date is 1 Apr 2014. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Katz, Ward A.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Katz, Ward A.. The recorded action date is 6 Jan 1994.PersonOCC Enforcement Actions
- Ramirez, Jose M.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Ramirez, Jose M.. The recorded action date is 27 Jan 1993.PersonOCC Enforcement Actions
- Martinez, AdolfoOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Martinez, Adolfo. The recorded action date is 17 Mar 2004.PersonOCC Enforcement Actions
- Kelley, KennethOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Kelley, Kenneth. The recorded action date is 7 Jun 1993.PersonOCC Enforcement Actions
- Sloan, E. WestonOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Sloan, E. Weston. The recorded action date is 24 Sep 1992.PersonOCC Enforcement Actions
- Fields, DonaldOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Fields, Donald. The recorded action date is 21 Oct 2002.PersonOCC Enforcement Actions
- Thoma, Eldon B. "Brac"Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Thoma, Eldon B. "Brac". The recorded action date is 5 Jun 2006.PersonOCC Enforcement Actions
- Swineford National BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Swineford National Bank. The recorded action date is 14 Jul 2014. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Simpson, MarthaOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Simpson, Martha. The recorded action date is 25 Jul 1991.PersonOCC Enforcement Actions
- Burnett, Wesley D.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Burnett, Wesley D.. The recorded action date is 8 Jan 2007.PersonOCC Enforcement Actions
- Ellsworth, Steven J.Office of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Ellsworth, Steven J.. The recorded action date is 23 Mar 2016.PersonOCC Enforcement Actions
- Afolabi, AbiolaOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Afolabi, Abiola. The recorded action date is 2 Oct 2009.PersonOCC Enforcement Actions
- United Citizens National BankOffice of the Comptroller of the Currency records “Formal Agreement” for United Citizens National Bank. The recorded action date is 24 Jun 1993. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Hase, Eugene L.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Hase, Eugene L.. The recorded action date is 20 Aug 2009.PersonOCC Enforcement Actions
- OneWest Bank, National AssociationOffice of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for OneWest Bank, National Association. The recorded action date is 11 Mar 2014.OrganizationOCC Enforcement Actions
- First National Bank of ScottsdaleOffice of the Comptroller of the Currency records “Formal Agreement” for First National Bank of Scottsdale. The recorded action date is 21 Jan 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Ranvier, Tamatha D.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Ranvier, Tamatha D.. The recorded action date is 10 Aug 2000.PersonOCC Enforcement Actions
- The Merchants National Bank & Trust Company Of SyracuseOffice of the Comptroller of the Currency records “Formal Agreement” for The Merchants National Bank & Trust Company Of Syracuse. The recorded action date is 20 Dec 1990. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Hamilton, AlexanderOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Hamilton, Alexander. The recorded action date is 15 Jun 2018.PersonOCC Enforcement Actions
- PNA BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for PNA Bank. The recorded action date is 13 Aug 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Vinson, Paula R.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Vinson, Paula R.. The recorded action date is 9 Feb 2009.PersonOCC Enforcement Actions
- The First National Bank of LitchfieldOffice of the Comptroller of the Currency records “Formal Agreement” for The First National Bank of Litchfield. The recorded action date is 9 Nov 2009. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Heiman, JerodOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Heiman, Jerod. The recorded action date is 15 Jun 2010.PersonOCC Enforcement Actions
- The Bank of Miami, National AssociationOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for The Bank of Miami, National Association. The recorded action date is 21 Jul 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- The Marion Center National BankOffice of the Comptroller of the Currency records “Formal Agreement” for The Marion Center National Bank. The recorded action date is 20 Sep 2004. 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.