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
- Mountain National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Mountain National Bank. The recorded action date is 2 Jun 2009. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Bank of America, National AssociationOffice of the Comptroller of the Currency records “Formal Agreement” for Bank of America, National Association. The recorded action date is 7 Dec 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Blose, JamesOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Blose, James. The recorded action date is 30 May 2025.PersonOCC Enforcement Actions
- Thomason, MatthewOffice of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Thomason, Matthew. The recorded action date is 6 May 2019.PersonOCC Enforcement Actions
- Wynn, John C.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Wynn, John C.. The recorded action date is 15 Jul 1992.PersonOCC Enforcement Actions
- Lopez, AlfredoOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Lopez, Alfredo. The recorded action date is 7 Feb 2000.PersonOCC Enforcement Actions
- Broad National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Broad National Bank. The recorded action date is 19 Nov 1998. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Marron, James J.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Marron, James J.. The recorded action date is 28 Jun 2000.PersonOCC Enforcement Actions
- Firstmerit 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 Firstmerit Bank, National Association. The recorded action date is 20 Nov 2006. 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 “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Bank of The Lakes, National Association. The recorded action date is 27 Feb 2013. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- First National Bank of LimonOffice of the Comptroller of the Currency records “Formal Agreement” for First National Bank of Limon. The recorded action date is 10 Jul 2002. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Harris, John W.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Harris, John W.. The recorded action date is 1 Dec 2015.PersonOCC Enforcement Actions
- The First National Bank of ShinerOffice of the Comptroller of the Currency records “Notice of Charges” for The First National Bank of Shiner. The recorded action date is 20 Dec 2023. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Coin, Harry S.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Coin, Harry S.. The recorded action date is 22 Apr 2011.PersonOCC Enforcement Actions
- Belmont National BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Belmont National Bank. The recorded action date is 3 Aug 1999. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Wachovia Bank Of North Carolina, N.A.Office of the Comptroller of the Currency records “Securities Enforcement Action” for Wachovia Bank Of North Carolina, N.A.. The recorded action date is 24 Jan 1992. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Grant Thornton LLPOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Grant Thornton LLP. The recorded action date is 7 Dec 2006. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Jefferson National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Jefferson National Bank. The recorded action date is 23 Sep 1991. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- First National Bank of JasperOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for First National Bank of Jasper. The recorded action date is 8 Oct 2009. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- First Fidelity Bank, National AssociationOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for First Fidelity Bank, National Association. The recorded action date is 30 Mar 2006.OrganizationOCC Enforcement Actions
- Zions First National BankOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Zions First National Bank. The recorded action date is 10 Feb 2011.OrganizationOCC Enforcement Actions
- Oskey, Warren A.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Oskey, Warren A.. The recorded action date is 17 Dec 1996.PersonOCC Enforcement Actions
- The Community National BankOffice of the Comptroller of the Currency records “Formal Agreement” for The Community National Bank. The recorded action date is 30 Sep 1998. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Collier, RandyOffice of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Collier, Randy. The recorded action date is 17 Dec 2014.PersonOCC Enforcement Actions
- Clark, Gerald C.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Clark, Gerald C.. The recorded action date is 27 Aug 1990.PersonOCC Enforcement Actions
- Singh, VeenindraOffice of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Singh, Veenindra. The recorded action date is 1 May 2000.PersonOCC Enforcement Actions
- Smith, James EarlOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Smith, James Earl. The recorded action date is 4 Apr 2003.PersonOCC Enforcement Actions
- Hays, John J.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Hays, John J.. The recorded action date is 22 Aug 2006.PersonOCC Enforcement Actions
- Chu, JaneOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Chu, Jane. The recorded action date is 5 Mar 2018.PersonOCC Enforcement Actions
- Tullis, R. MatthewOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Tullis, R. Matthew. The recorded action date is 21 Feb 2002.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.