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
- First National Bank Of PennsylvaniaOffice of the Comptroller of the Currency records “Formal Agreement” for First National Bank Of Pennsylvania. The recorded action date is 23 Mar 1993. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Cadotte, JamesOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Cadotte, James. The recorded action date is 10 Jan 2006.PersonOCC Enforcement Actions
- Gcf BankOffice of the Comptroller of the Currency records “Formal Agreement” for Gcf Bank. The recorded action date is 20 Sep 2012. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Nelson, Timothy E.Office of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Nelson, Timothy E.. The recorded action date is 23 Sep 1997.PersonOCC Enforcement Actions
- Kell, Thomas P.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Kell, Thomas P.. The recorded action date is 4 Apr 2006.PersonOCC Enforcement Actions
- Milton Savings BankOffice of the Comptroller of the Currency records “Formal Agreement” for Milton Savings Bank. The recorded action date is 20 Apr 2021. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Gaddis, Stephen G.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Gaddis, Stephen G.. The recorded action date is 5 Jun 1992.PersonOCC Enforcement Actions
- Schwartz, Justin D.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Schwartz, Justin D.. The recorded action date is 22 May 2018.PersonOCC Enforcement Actions
- Scarlett, Cathy G.Office of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Scarlett, Cathy G.. The recorded action date is 29 Apr 2005.PersonOCC Enforcement Actions
- Mitchell, Lewis EdwardOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Mitchell, Lewis Edward. The recorded action date is 18 Nov 2002.PersonOCC Enforcement Actions
- Neighborhood National BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Neighborhood National Bank. The recorded action date is 16 Feb 2011. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Saddle River Valley BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Saddle River Valley Bank. The recorded action date is 17 Oct 2011. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Fidelity National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Fidelity National Bank. The recorded action date is 26 Mar 2002. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Farah, EdwardOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Farah, Edward. The recorded action date is 9 Apr 2007.PersonOCC Enforcement Actions
- Goleta National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Goleta National Bank. The recorded action date is 23 Mar 2000. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Hedrick, Donald E.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Hedrick, Donald E.. The recorded action date is 11 Sep 1996.PersonOCC Enforcement Actions
- Otoya, Patricia A.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Otoya, Patricia A.. The recorded action date is 18 May 2006.PersonOCC Enforcement Actions
- Tunison, Beverly H.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Tunison, Beverly H.. The recorded action date is 11 Apr 1994.PersonOCC Enforcement Actions
- LaFontaine, Michael S.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for LaFontaine, Michael S.. The recorded action date is 5 Mar 2020.PersonOCC Enforcement Actions
- The First National Bank of WaverlyOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for The First National Bank of Waverly. The recorded action date is 18 Mar 2013.OrganizationOCC Enforcement Actions
- First National Bank & Trust of Syracuse, NebraskaOffice of the Comptroller of the Currency records “Formal Agreement” for First National Bank & Trust of Syracuse, Nebraska. The recorded action date is 2 Nov 2009. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Metrobank, National AssociationOffice of the Comptroller of the Currency records “Formal Agreement” for Metrobank, National Association. The recorded action date is 10 Aug 2009. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Heritage First BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Heritage First Bank. The recorded action date is 20 Oct 2011. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Johnson, DavidOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Johnson, David. The recorded action date is 6 Sep 2016.PersonOCC Enforcement Actions
- Ford, DelianOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Ford, Delian. The recorded action date is 22 Sep 1992.PersonOCC Enforcement Actions
- Amcore Bank, National AssociationOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Amcore Bank, National Association. The recorded action date is 16 Sep 2003.OrganizationOCC Enforcement Actions
- Hughes, KathyOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Hughes, Kathy. The recorded action date is 20 May 2004.PersonOCC Enforcement Actions
- Intercredit Bank, National AssociationOffice of the Comptroller of the Currency records “Formal Agreement” for Intercredit Bank, National Association. The recorded action date is 26 Apr 2007. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Bank of The Lakes, National AssociationOffice of the Comptroller of the Currency records “Formal Agreement” for Bank of The Lakes, National Association. The recorded action date is 19 Jun 2009. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Quontic BankOffice of the Comptroller of the Currency records “Formal Agreement” for Quontic Bank. The recorded action date is 29 Oct 2018. 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.