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
- Queensborough National Bank & Trust CompanyOffice of the Comptroller of the Currency records “Formal Agreement” for Queensborough National Bank & Trust Company. The recorded action date is 8 Dec 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Flint River National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Flint River National Bank. The recorded action date is 14 Jan 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Pacific National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Pacific National Bank. The recorded action date is 21 Jun 2000. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Busch, Frank W.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Busch, Frank W.. The recorded action date is 21 Jun 2006.PersonOCC Enforcement Actions
- Kostakopoulos, YaseminOffice of the Comptroller of the Currency records “Notice of Charges” for Kostakopoulos, Yasemin. The recorded action date is 8 Oct 2014. This source entry is excluded from current screening matches.PersonOCC Enforcement Actions
- Falcon National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Falcon National Bank. The recorded action date is 5 Aug 1992. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Merchants Bank of California, National AssociationOffice of the Comptroller of the Currency records “Safety and Soundness Order (issued under 12 CFR 30)” for Merchants Bank of California, National Association. The recorded action date is 22 Dec 1998. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Lovell, Evertt W.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Lovell, Evertt W.. The recorded action date is 25 Mar 1993.PersonOCC Enforcement Actions
- Wynn, John C.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Wynn, John C.. The recorded action date is 15 Jul 1992.PersonOCC Enforcement Actions
- Wells Fargo 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 Wells Fargo Bank, National Association. The recorded action date is 16 Jun 2015. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Jones, Michael W.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Jones, Michael W.. The recorded action date is 9 Jul 2018.PersonOCC Enforcement Actions
- Palumbo, Luther P.Office of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Palumbo, Luther P.. The recorded action date is 8 Nov 1997.PersonOCC Enforcement Actions
- The First National Bank of FloridaOffice of the Comptroller of the Currency records “Formal Agreement” for The First National Bank of Florida. The recorded action date is 29 Aug 2001. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Clare, ColleenOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Clare, Colleen. The recorded action date is 3 Nov 2016.PersonOCC Enforcement Actions
- Kayton, Robert C.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Kayton, Robert C.. The recorded action date is 9 Oct 1990.PersonOCC Enforcement Actions
- The First National Bank Of ManningOffice of the Comptroller of the Currency records “Formal Agreement” for The First National Bank Of Manning. The recorded action date is 21 Oct 1991. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Gateway Bank, F.S.B.Office of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Gateway Bank, F.S.B.. The recorded action date is 12 Nov 2020. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Goddard, James H.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Goddard, James H.. The recorded action date is 25 Aug 1992.PersonOCC Enforcement Actions
- Schaper, Gerald L.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Schaper, Gerald L.. The recorded action date is 29 Oct 1991.PersonOCC Enforcement Actions
- Schaub, RussellOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Schaub, Russell. The recorded action date is 15 Jun 2018.PersonOCC Enforcement Actions
- Lokey, Paul E.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Lokey, Paul E.. The recorded action date is 14 Nov 1990.PersonOCC Enforcement Actions
- Roggeman, AlfredOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Roggeman, Alfred. The recorded action date is 26 Jan 1998.PersonOCC Enforcement Actions
- North American SB, FSBOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for North American SB, FSB. The recorded action date is 1 Feb 2013. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Algeria, CesarOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Algeria, Cesar. The recorded action date is 10 Jun 2022.PersonOCC Enforcement Actions
- Westfield BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Westfield Bank. The recorded action date is 28 Apr 2011. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Binger, RoyOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Binger, Roy. The recorded action date is 21 Dec 1999.PersonOCC Enforcement Actions
- Pacific National BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Pacific National Bank. The recorded action date is 29 Sep 2009. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Mendieta, UrielOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Mendieta, Uriel. The recorded action date is 25 May 2006.PersonOCC Enforcement Actions
- Liberty FSBOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Liberty FSB. The recorded action date is 15 Nov 2013. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Chinatown 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 Chinatown Federal Savings Bank. The recorded action date is 14 Aug 2009. 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.