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
- Bennett, ErinOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Bennett, Erin. The recorded action date is 7 Oct 1999.PersonOCC Enforcement Actions
- 1st Century 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 1st Century Bank, National Association. The recorded action date is 11 Sep 2013. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Duncan, BrentOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Duncan, Brent. The recorded action date is 8 Feb 2001.PersonOCC Enforcement Actions
- Capital One Bank (USA), National AssociationOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Capital One Bank (USA), National Association. The recorded action date is 5 Aug 2020. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Uvalde National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Uvalde National Bank. The recorded action date is 4 Feb 2009. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Beard, Walter E.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Beard, Walter E.. The recorded action date is 28 Feb 1992.PersonOCC Enforcement Actions
- First National Bank of Shelby CountyOffice of the Comptroller of the Currency records “Formal Agreement” for First National Bank of Shelby County. The recorded action date is 11 Oct 2002. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Scott, PhilOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Scott, Phil. The recorded action date is 27 Jun 2012.PersonOCC Enforcement Actions
- Cornwell, Gregory S.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Cornwell, Gregory S.. The recorded action date is 19 Jun 1991.PersonOCC Enforcement Actions
- First National BankOffice of the Comptroller of the Currency records “Formal Agreement” for First National Bank. The recorded action date is 21 Feb 2002. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- U.S. Bank National AssociationOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for U.S. Bank National Association. The recorded action date is 18 Oct 2006.OrganizationOCC Enforcement Actions
- Neill, DavidOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Neill, David. The recorded action date is 10 Feb 2014.PersonOCC Enforcement Actions
- Lee, RobertOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Lee, Robert. The recorded action date is 1 May 1992.PersonOCC Enforcement Actions
- Community First BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Community First Bank. The recorded action date is 18 Mar 2013. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- McClelland, JackOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for McClelland, Jack. The recorded action date is 2 Oct 2017.PersonOCC Enforcement Actions
- Burnett, DonaldOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Burnett, Donald. The recorded action date is 25 Jun 1993.PersonOCC Enforcement Actions
- Danziger, Dr.Franklin S.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Danziger, Dr.Franklin S.. The recorded action date is 6 Jun 1991.PersonOCC Enforcement Actions
- Marathon National Bank of New YorkOffice of the Comptroller of the Currency records “Formal Agreement” for Marathon National Bank of New York. The recorded action date is 22 May 2008. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Espiritu, ElenaOffice of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Espiritu, Elena. The recorded action date is 16 Jun 1998.PersonOCC Enforcement Actions
- Dahlman, Dawn M.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Dahlman, Dawn M.. The recorded action date is 25 Sep 1998.PersonOCC Enforcement Actions
- The Hemisphere National BankOffice of the Comptroller of the Currency records “Formal Agreement” for The Hemisphere National Bank. The recorded action date is 3 Jun 2002. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Morita, GeroldOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Morita, Gerold. The recorded action date is 22 Nov 1996.PersonOCC Enforcement Actions
- First National Bank of Cass Lake, TheOffice of the Comptroller of the Currency records “Formal Agreement” for First National Bank of Cass Lake, The. The recorded action date is 2 Feb 2000. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Bank of America, National AssociationOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Bank of America, National Association. The recorded action date is 29 May 2015.OrganizationOCC Enforcement Actions
- U.S. Bank National Association NDOffice of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for U.S. Bank National Association ND. The recorded action date is 28 Feb 2013.OrganizationOCC Enforcement Actions
- Levitt, James J.Office of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Levitt, James J.. The recorded action date is 4 Mar 1996.PersonOCC Enforcement Actions
- Adams, E. HarrisOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Adams, E. Harris. The recorded action date is 27 May 2014.PersonOCC Enforcement Actions
- City National Bank Of West VirginiaOffice of the Comptroller of the Currency records “Formal Agreement” for City National Bank Of West Virginia. The recorded action date is 26 Sep 2001. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Ladysmith FS & LAOffice of the Comptroller of the Currency records “Formal Agreement” for Ladysmith FS & LA. The recorded action date is 26 Apr 2013. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Howell, Vernon E.Office of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Howell, Vernon E.. The recorded action date is 4 Feb 2003.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.