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
- Security Pacific National BankOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Security Pacific National Bank. The recorded action date is 17 Jan 1992.OrganizationOCC Enforcement Actions
- Stuart, Elizabeth A.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Stuart, Elizabeth A.. The recorded action date is 10 Feb 2010.PersonOCC Enforcement Actions
- The National Commercial BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for The National Commercial Bank. The recorded action date is 2 Jul 1992. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Midsouth Bank, National AssociationOffice of the Comptroller of the Currency records “Formal Agreement” for Midsouth Bank, National Association. The recorded action date is 25 Mar 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Martinez, AdolfoOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Martinez, Adolfo. The recorded action date is 17 Mar 2004.PersonOCC Enforcement Actions
- Resolute BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Resolute Bank. The recorded action date is 5 Sep 2018. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Jackson, IvyOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Jackson, Ivy. The recorded action date is 17 Dec 1999.PersonOCC Enforcement Actions
- Fish, JamesOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Fish, James. The recorded action date is 8 Nov 2006.PersonOCC Enforcement Actions
- Mechanics National BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Mechanics National Bank. The recorded action date is 22 Oct 1991. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- NationsSecurities, Inc.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for NationsSecurities, Inc.. The recorded action date is 30 Apr 1998.OrganizationOCC Enforcement Actions
- Anderson, William W.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Anderson, William W.. The recorded action date is 22 Apr 2009.PersonOCC Enforcement Actions
- Dobbins, JuliaOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Dobbins, Julia. The recorded action date is 27 Jan 1993.PersonOCC Enforcement Actions
- Grey, Y'NischaOffice of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Grey, Y'Nischa. The recorded action date is 1 Nov 1997.PersonOCC Enforcement Actions
- Guerra, ArcadioOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Guerra, Arcadio. The recorded action date is 2 Oct 2017.PersonOCC Enforcement Actions
- Disla, MarvinOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Disla, Marvin. The recorded action date is 15 Feb 2006.PersonOCC Enforcement Actions
- Nara 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 Nara Bank, National Association. The recorded action date is 20 Feb 2002. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- UMB Bank, National AssociationOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for UMB Bank, National Association. The recorded action date is 1 Aug 2017.OrganizationOCC Enforcement Actions
- Riano-Vanegas, WaltherOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Riano-Vanegas, Walther. The recorded action date is 8 Aug 2025.PersonOCC Enforcement Actions
- Price, MartinOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Price, Martin. The recorded action date is 18 Mar 2002.PersonOCC Enforcement Actions
- Cleveland, Walter C. "Charlie"Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Cleveland, Walter C. "Charlie". The recorded action date is 20 Jun 2005.PersonOCC Enforcement Actions
- Hurley, PatrickOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Hurley, Patrick. The recorded action date is 20 Sep 2021.PersonOCC Enforcement Actions
- Pikes Peak National BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Pikes Peak National Bank. The recorded action date is 21 Apr 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Stuart, James MichaelOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Stuart, James Michael. The recorded action date is 22 Dec 2003.PersonOCC Enforcement Actions
- Baughcum, BrockOffice of the Comptroller of the Currency records “1829 Prohibition Notification” for Baughcum, Brock. The recorded action date is 13 Oct 2023.PersonOCC Enforcement Actions
- City National BankOffice of the Comptroller of the Currency records “GLBA Agreement” for City National Bank. The recorded action date is 4 Jun 2023.OrganizationOCC Enforcement Actions
- Snow Bank, National AssociationOffice of the Comptroller of the Currency records “Formal Agreement” for Snow Bank, National Association. The recorded action date is 9 Jun 1993. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Ozark Heritage 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 Ozark Heritage Bank, National Association. The recorded action date is 26 Aug 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Carney, AlfonsoOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Carney, Alfonso. The recorded action date is 15 Sep 2020.PersonOCC Enforcement Actions
- Park Avenue Bank, N.A.Office of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Park Avenue Bank, N.A.. The recorded action date is 19 Dec 1994. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- The First National Bank of WaverlyOffice of the Comptroller of the Currency records “Formal Agreement” for The First National Bank of Waverly. The recorded action date is 9 Nov 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.