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
- MUFG Bank, Ltd. Primary NY BranchOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for MUFG Bank, Ltd. Primary NY Branch. The recorded action date is 21 Feb 2019. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- First National Bank in GeorgetownOffice of the Comptroller of the Currency records “Formal Agreement” for First National Bank in Georgetown. The recorded action date is 3 Apr 2002. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- O'Malley, JamesOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for O'Malley, James. The recorded action date is 21 Jun 2011.PersonOCC Enforcement Actions
- Canales, Richard G..Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Canales, Richard G... The recorded action date is 8 Feb 2000.PersonOCC Enforcement Actions
- Landmark Community Bank, N.A.Office of the Comptroller of the Currency records “Formal Agreement” for Landmark Community Bank, N.A.. The recorded action date is 14 Dec 1998. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Marr, RaymondOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Marr, Raymond. The recorded action date is 26 Feb 1990.PersonOCC Enforcement Actions
- Fidelity National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Fidelity National Bank. The recorded action date is 25 May 2012. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Garrity, MichaelOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Garrity, Michael. The recorded action date is 20 Feb 1996.PersonOCC Enforcement Actions
- Hemisphere National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Hemisphere National Bank. The recorded action date is 9 Dec 1992. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Musick, Terry L.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Musick, Terry L.. The recorded action date is 20 Jun 2011.PersonOCC Enforcement Actions
- Hedrick, Donald E.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Hedrick, Donald E.. The recorded action date is 20 Jun 1989.PersonOCC Enforcement Actions
- Sutterfield, MarvinOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Sutterfield, Marvin. The recorded action date is 10 Aug 2012.PersonOCC Enforcement Actions
- Day, AlexisOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Day, Alexis. The recorded action date is 26 Sep 2024.PersonOCC Enforcement Actions
- Founders Trust National BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Founders Trust National Bank. The recorded action date is 19 Jul 2000. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Ashley, Kelly Y.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Ashley, Kelly Y.. The recorded action date is 18 Jan 2002.PersonOCC Enforcement Actions
- Western United National BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Western United National Bank. The recorded action date is 22 Jan 1993. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Frigo, DavidOffice of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Frigo, David. The recorded action date is 16 Dec 1995.PersonOCC Enforcement Actions
- Trunz, ChristianOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Trunz, Christian. The recorded action date is 30 Jan 2024.PersonOCC Enforcement Actions
- Amfirst Bank, National AssociationOffice of the Comptroller of the Currency records “Formal Agreement” for Amfirst Bank, National Association. The recorded action date is 15 Dec 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- HSBC 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 HSBC Bank USA, National Association. The recorded action date is 11 Dec 2012. 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 19 Nov 2015. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Hartsfield, Donald R.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Hartsfield, Donald R.. The recorded action date is 19 Aug 1991.PersonOCC Enforcement Actions
- Harbor Capital National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Harbor Capital National Bank. The recorded action date is 6 May 2002. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Frontier BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Frontier Bank. The recorded action date is 22 Mar 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Cook, WilliamOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Cook, William. The recorded action date is 20 May 2004.PersonOCC Enforcement Actions
- JPMorgan Chase Bank, National AssociationOffice of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for JPMorgan Chase Bank, National Association. The recorded action date is 28 Feb 2013.OrganizationOCC Enforcement Actions
- Champaigne, AnnaOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Champaigne, Anna. The recorded action date is 18 Feb 1999.PersonOCC Enforcement Actions
- PNC Bank, National AssociationOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for PNC Bank, National Association. The recorded action date is 6 Oct 2014.OrganizationOCC Enforcement Actions
- Citizens Bank, National AssociationOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Citizens Bank, National Association. The recorded action date is 10 Nov 2015.OrganizationOCC Enforcement Actions
- Loumiet, CarlosOffice of the Comptroller of the Currency records “Notice of Charges” for Loumiet, Carlos. The recorded action date is 6 Nov 2006. This source entry is excluded from current screening matches.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.