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
- Scaff, James RobertOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Scaff, James Robert. The recorded action date is 28 Oct 1993.PersonOCC Enforcement Actions
- Atlantic Coast BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Atlantic Coast Bank. The recorded action date is 10 Dec 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- First National Bank In GarretsonOffice of the Comptroller of the Currency records “Formal Agreement” for First National Bank In Garretson. The recorded action date is 6 May 1992. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Brown, EdwinOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Brown, Edwin. The recorded action date is 14 Nov 1990.PersonOCC Enforcement Actions
- First National BankOffice of the Comptroller of the Currency records “Formal Agreement” for First National Bank. The recorded action date is 16 Apr 2012. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- The Leonard National BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for The Leonard National Bank. The recorded action date is 2 Apr 1991. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Broadway National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Broadway National Bank. The recorded action date is 19 Sep 1991. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Ken-Caryl National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Ken-Caryl National Bank. The recorded action date is 17 Jun 1992. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Volkert, Adam S.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Volkert, Adam S.. The recorded action date is 14 Jun 2004.PersonOCC Enforcement Actions
- Simmons, David E.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Simmons, David E.. The recorded action date is 27 May 2014.PersonOCC Enforcement Actions
- The First National Bank Of NewellOffice of the Comptroller of the Currency records “Formal Agreement” for The First National Bank Of Newell. The recorded action date is 21 Jul 1993. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Tiller, OmarOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Tiller, Omar. The recorded action date is 2 Mar 1993.PersonOCC Enforcement Actions
- Mills, Walter F.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Mills, Walter F.. The recorded action date is 13 Dec 2019.PersonOCC Enforcement Actions
- Goel, K.C.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Goel, K.C.. The recorded action date is 22 Sep 2004.PersonOCC Enforcement Actions
- Western National BankOffice of the Comptroller of the Currency records “Capital Directive” for Western National Bank. The recorded action date is 4 Apr 2011. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Maganuco, GraziellaOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Maganuco, Graziella. The recorded action date is 18 Feb 2000.PersonOCC Enforcement Actions
- Hu, QianOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Hu, Qian. The recorded action date is 5 Dec 2022.PersonOCC Enforcement Actions
- Ameritrust Company National AssociationOffice of the Comptroller of the Currency records “Securities Enforcement Action” for Ameritrust Company National Association. The recorded action date is 17 Jan 1992. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- The Midway National Bank Of St. PaulOffice of the Comptroller of the Currency records “Formal Agreement” for The Midway National Bank Of St. Paul. The recorded action date is 19 May 1992. This source entry is excluded from current screening matches.OrganizationOCC 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 17 Jan 2020.OrganizationOCC Enforcement Actions
- McCauley, Delores L.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for McCauley, Delores L.. The recorded action date is 6 Dec 2005.PersonOCC Enforcement Actions
- Dana Niguel Bank, National AssociationOffice of the Comptroller of the Currency records “Formal Agreement” for Dana Niguel Bank, National Association. The recorded action date is 6 Jun 1991. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Security 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 Security Federal Savings Bank. The recorded action date is 21 Dec 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Gilley, Harold P.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Gilley, Harold P.. The recorded action date is 15 Jul 1991.PersonOCC Enforcement Actions
- Colorado National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Colorado National Bank. The recorded action date is 31 May 2016. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Russ Anderson, ClaudiaOffice of the Comptroller of the Currency records “Notice of Charges” for Russ Anderson, Claudia. The recorded action date is 23 Jan 2020. This source entry is excluded from current screening matches.PersonOCC Enforcement Actions
- Rackley, JackOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Rackley, Jack. The recorded action date is 27 Nov 1989.PersonOCC Enforcement Actions
- Heath, J.NealOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Heath, J.Neal. The recorded action date is 8 Feb 1993.PersonOCC Enforcement Actions
- Rodriguez, RobertoOffice of the Comptroller of the Currency records “1829 Prohibition Notification” for Rodriguez, Roberto. The recorded action date is 8 May 2024.PersonOCC Enforcement Actions
- The First National Bank of TahokaOffice of the Comptroller of the Currency records “Formal Agreement” for The First National Bank of Tahoka. The recorded action date is 20 Jun 2019. 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.