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
- Allphin, CharlesOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Allphin, Charles. The recorded action date is 1 Feb 2012.PersonOCC Enforcement Actions
- Capital One, 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, National Association. The recorded action date is 5 Aug 2020. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Commerce Bank Of Kansas CityOffice of the Comptroller of the Currency records “Securities Enforcement Action” for Commerce Bank Of Kansas City. The recorded action date is 17 Jan 1992. 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 “Civil Money Penalty (CMP)” for The First National Bank of Waverly. The recorded action date is 1 Jun 2005.OrganizationOCC Enforcement Actions
- First Security National BankOffice of the Comptroller of the Currency records “Formal Agreement” for First Security National Bank. The recorded action date is 2 Mar 1994. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Metlife 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 Metlife Bank, National Association. The recorded action date is 13 Apr 2011. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Jorgensen, Bradley JoelOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Jorgensen, Bradley Joel. The recorded action date is 9 May 1990.PersonOCC Enforcement Actions
- Hansmann, GraceOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Hansmann, Grace. The recorded action date is 23 Apr 1999.PersonOCC Enforcement Actions
- Heartland 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 Heartland Bank, N.A.. The recorded action date is 18 May 1998. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Barnett, William K.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Barnett, William K.. The recorded action date is 20 Dec 1990.PersonOCC Enforcement Actions
- Bremer Bank, National AssociationOffice of the Comptroller of the Currency records “Formal Agreement” for Bremer Bank, National Association. The recorded action date is 18 Nov 1999. This source entry is excluded from current screening matches.OrganizationOCC 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 9 Sep 2021. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- The Palisades National BankOffice of the Comptroller of the Currency records “Formal Agreement” for The Palisades National Bank. The recorded action date is 29 Mar 2001. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- McGibbony, Frank M.Office of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for McGibbony, Frank M.. The recorded action date is 14 Nov 1995. This source entry is excluded from current screening matches.PersonOCC Enforcement Actions
- Culbertson, Lloyd K.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Culbertson, Lloyd K.. The recorded action date is 11 Jun 2003.PersonOCC Enforcement Actions
- Pilon, Teresa A.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Pilon, Teresa A.. The recorded action date is 30 Dec 1999.PersonOCC Enforcement Actions
- Zurek, Ronald C.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Zurek, Ronald C.. The recorded action date is 16 Jul 1996.PersonOCC Enforcement Actions
- Haugen, ToddOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Haugen, Todd. The recorded action date is 20 Jul 2005.PersonOCC Enforcement Actions
- Fernandez, ManuelOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Fernandez, Manuel. The recorded action date is 23 Nov 2010.PersonOCC Enforcement Actions
- Boulevard Bank, N.A.Office of the Comptroller of the Currency records “Formal Agreement” for Boulevard Bank, N.A.. The recorded action date is 24 Apr 1991. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Harrison, William T.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Harrison, William T.. The recorded action date is 2 Sep 2005.PersonOCC Enforcement Actions
- First National Bank in PawhuskaOffice of the Comptroller of the Currency records “Formal Agreement” for First National Bank in Pawhuska. The recorded action date is 16 Jun 2006. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Gallagher, J.JamesOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Gallagher, J.James. The recorded action date is 6 May 1992.PersonOCC Enforcement Actions
- Bianco, Michael V.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Bianco, Michael V.. The recorded action date is 21 Oct 1991.PersonOCC Enforcement Actions
- Security Pacific National BankOffice of the Comptroller of the Currency records “Securities Enforcement Action” for Security Pacific National Bank. The recorded action date is 17 Jan 1992. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- City National Bank of New JerseyOffice of the Comptroller of the Currency records “Prompt Corrective Action (PCA) Directive” for City National Bank of New Jersey. The recorded action date is 26 Jun 2019. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- First FS & LA of HammondOffice of the Comptroller of the Currency records “Formal Agreement” for First FS & LA of Hammond. The recorded action date is 12 Jan 2011. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Broadway Federal 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 Broadway Federal Bank, F.S.B.. The recorded action date is 30 Oct 2013. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Midsouth National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Midsouth National Bank. The recorded action date is 27 Jun 1991. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Lackner, William F.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Lackner, William F.. The recorded action date is 27 May 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.