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
- Banco de LA Republica Oriental Del UruguayOffice of the Comptroller of the Currency records “Formal Agreement” for Banco de LA Republica Oriental Del Uruguay. The recorded action date is 14 Aug 2002. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Sovereign BankOffice of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Sovereign Bank. The recorded action date is 26 Jan 2012.OrganizationOCC Enforcement Actions
- Blue Grass FS & LAOffice of the Comptroller of the Currency records “Formal Agreement” for Blue Grass FS & LA. The recorded action date is 17 Feb 2016. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Hayes, Robert A.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Hayes, Robert A.. The recorded action date is 31 May 2006.PersonOCC Enforcement Actions
- Stuart, DouglasOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Stuart, Douglas. The recorded action date is 5 Feb 2010.PersonOCC Enforcement Actions
- Wilcox, ThaddeusOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Wilcox, Thaddeus. The recorded action date is 5 Nov 1999.PersonOCC Enforcement Actions
- First Integrity 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 First Integrity Bank, National Association. The recorded action date is 31 Jan 2008. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Pedersen, Glen L.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Pedersen, Glen L.. The recorded action date is 25 Jun 1991.PersonOCC Enforcement Actions
- Consolidated 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 Consolidated Bank, National Association. The recorded action date is 15 Aug 1994. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Southbank, A Federal Savings BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Southbank, A Federal Savings Bank. The recorded action date is 28 Mar 2012. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Probank, National AssociationOffice of the Comptroller of the Currency records “Formal Agreement” for Probank, National Association. The recorded action date is 19 Sep 1991. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Far East National BankOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Far East National Bank. The recorded action date is 29 Aug 2007.OrganizationOCC Enforcement Actions
- Riggs 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 Riggs Bank National Association. The recorded action date is 27 Jan 2005. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- First National Bank of Central AlabamaOffice of the Comptroller of the Currency records “Formal Agreement” for First National Bank of Central Alabama. The recorded action date is 17 Feb 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- McMahan, R. RoderickOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for McMahan, R. Roderick. The recorded action date is 17 Nov 1994.PersonOCC Enforcement Actions
- The First National Bank of BerlinOffice of the Comptroller of the Currency records “Formal Agreement” for The First National Bank of Berlin. The recorded action date is 24 Apr 2007. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Ward, WayneOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Ward, Wayne. The recorded action date is 25 Mar 1996.PersonOCC Enforcement Actions
- Solomon, Charles W.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Solomon, Charles W.. The recorded action date is 10 Dec 1993.PersonOCC Enforcement Actions
- Wilshire Center 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 Wilshire Center Bank, National Association. The recorded action date is 30 Nov 1990. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- GN BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for GN Bank. The recorded action date is 18 Sep 2020. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Sequoia National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Sequoia National Bank. The recorded action date is 24 Mar 1995. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- The First National Bank of ManchesterOffice of the Comptroller of the Currency records “Formal Agreement” for The First National Bank of Manchester. The recorded action date is 28 May 2008. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Winfrey, Deborah JeanOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Winfrey, Deborah Jean. The recorded action date is 30 Jul 2003.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
- First City, Texas - Houston, National AssociationOffice of the Comptroller of the Currency records “Formal Agreement” for First City, Texas - Houston, National Association. The recorded action date is 12 Apr 1991. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- First National Bank of GeorgiaOffice of the Comptroller of the Currency records “Formal Agreement” for First National Bank of Georgia. The recorded action date is 12 Nov 2008. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Delta 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 Delta Bank, National Association. The recorded action date is 14 Oct 2008. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Jones, CodyOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Jones, Cody. The recorded action date is 12 Feb 1999.PersonOCC Enforcement Actions
- Lapino, RaymondOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Lapino, Raymond. The recorded action date is 9 Dec 1991.PersonOCC Enforcement Actions
- Capital One, National AssociationOffice of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Capital One, National Association. The recorded action date is 25 Jul 2012.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.