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
- Lester, JefferyOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Lester, Jeffery. The recorded action date is 29 Jul 2008.PersonOCC Enforcement Actions
- Penner, JosephOffice of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Penner, Joseph. The recorded action date is 3 Jan 1991.PersonOCC Enforcement Actions
- Sellers, Bob L.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Sellers, Bob L.. The recorded action date is 8 Jan 1999.PersonOCC Enforcement Actions
- Donne, DeliaOffice of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Donne, Delia. The recorded action date is 6 Dec 1995.PersonOCC Enforcement Actions
- Yi, JudyOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Yi, Judy. The recorded action date is 8 Mar 2000.PersonOCC Enforcement Actions
- The First National Bank Of ArvadaOffice of the Comptroller of the Currency records “Formal Agreement” for The First National Bank Of Arvada. The recorded action date is 10 Jun 1992. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Mellon Bank, N.A.Office of the Comptroller of the Currency records “Securities Enforcement Action” for Mellon Bank, N.A.. The recorded action date is 17 Jan 1992. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Allen, Neil E.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Allen, Neil E.. The recorded action date is 6 Jan 1994.PersonOCC Enforcement Actions
- Citibank, N.A.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Citibank, N.A.. The recorded action date is 10 Jul 2024.OrganizationOCC Enforcement Actions
- Falcon National BankOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Falcon National Bank. The recorded action date is 7 Jul 1992.OrganizationOCC Enforcement Actions
- National Bank of Kansas CityOffice of the Comptroller of the Currency records “Formal Agreement” for National Bank of Kansas City. The recorded action date is 20 May 2008. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Sullivan, Kenneth T.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Sullivan, Kenneth T.. The recorded action date is 20 Dec 2006.PersonOCC Enforcement Actions
- Clevenger, GeraldOffice of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Clevenger, Gerald. The recorded action date is 14 May 1999.PersonOCC Enforcement Actions
- Clear Lake National BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Clear Lake National Bank. The recorded action date is 7 Nov 2003. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- The First National Bank Of NorthfieldOffice of the Comptroller of the Currency records “Formal Agreement” for The First National Bank Of Northfield. The recorded action date is 16 Jun 1993. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Old National BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Old National Bank. The recorded action date is 4 Jun 2012. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Luhring, Roger A.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Luhring, Roger A.. The recorded action date is 7 Dec 2007.PersonOCC Enforcement Actions
- Northern Trust, National AssociationOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Northern Trust, National Association. The recorded action date is 2 Jul 2008.OrganizationOCC Enforcement Actions
- Bay National BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Bay National Bank. The recorded action date is 6 Feb 2009. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Hughes, James E.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Hughes, James E.. The recorded action date is 19 Jan 2000.PersonOCC Enforcement Actions
- Temecula Valley National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Temecula Valley National Bank. The recorded action date is 2 Feb 1993. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Koops, DonaldOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Koops, Donald. The recorded action date is 3 Jul 2007.PersonOCC Enforcement Actions
- Mercedes National BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Mercedes National Bank. The recorded action date is 27 Jan 1992. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Hernandez, JesusOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Hernandez, Jesus. The recorded action date is 26 Sep 2014.PersonOCC Enforcement Actions
- Washington, Brenda L.Office of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Washington, Brenda L.. The recorded action date is 5 Sep 1997.PersonOCC Enforcement Actions
- Guinn, Dotson R.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Guinn, Dotson R.. The recorded action date is 16 Aug 1994.PersonOCC Enforcement Actions
- The Fulton County National Bank and Trust CompanyOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for The Fulton County National Bank and Trust Company. The recorded action date is 23 Mar 2005. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Shipp, William L.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Shipp, William L.. The recorded action date is 28 May 2010.PersonOCC Enforcement Actions
- Community Bank National AssociationOffice of the Comptroller of the Currency records “Formal Agreement” for Community Bank National Association. The recorded action date is 31 Jul 1992. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Timm, DwaneOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Timm, Dwane. The recorded action date is 6 May 2013.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.