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
- Casco Northern Bank, National AssociationOffice of the Comptroller of the Currency records “Formal Agreement” for Casco Northern Bank, National Association. The recorded action date is 13 May 1991. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Tuscola National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Tuscola National Bank. The recorded action date is 20 Mar 2002. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Excel Bank, N.A.Office of the Comptroller of the Currency records “Formal Agreement” for Excel Bank, N.A.. The recorded action date is 11 Apr 2002. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Penny, BruceOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Penny, Bruce. The recorded action date is 6 May 2010.PersonOCC Enforcement Actions
- Mainline National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Mainline National Bank. The recorded action date is 22 Mar 2011. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Hernandez, Alta L.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Hernandez, Alta L.. The recorded action date is 6 Jan 1998.PersonOCC Enforcement Actions
- Guldi, JamesOffice of the Comptroller of the Currency records “Notice of Charges” for Guldi, James. The recorded action date is 1 Dec 2015. This source entry is excluded from current screening matches.PersonOCC Enforcement Actions
- Greenchoice Bank, FSBOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Greenchoice Bank, FSB. The recorded action date is 20 Nov 2009. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Clark, W. MaxOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Clark, W. Max. The recorded action date is 18 Dec 1998.PersonOCC Enforcement Actions
- Heartland National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Heartland National Bank. The recorded action date is 3 Jun 1998. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Budd, Stacey L.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Budd, Stacey L.. The recorded action date is 15 Mar 2011.PersonOCC Enforcement Actions
- Tillman, MarkOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Tillman, Mark. The recorded action date is 29 Jan 2025.PersonOCC Enforcement Actions
- Woodbury, ThomasOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Woodbury, Thomas. The recorded action date is 1 Mar 2012.PersonOCC Enforcement Actions
- Wachovia 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 Wachovia Bank, National Association. The recorded action date is 12 Mar 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Arpajian, MelineOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Arpajian, Meline. The recorded action date is 29 Oct 2004.PersonOCC Enforcement Actions
- Brannan, Ira LeeOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Brannan, Ira Lee. The recorded action date is 3 Dec 1991.PersonOCC Enforcement Actions
- Serratore, JamesOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Serratore, James. The recorded action date is 26 Feb 2007.PersonOCC Enforcement Actions
- Kostakopoulos, Haralambos S.Office of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Kostakopoulos, Haralambos S.. The recorded action date is 19 Jan 2016.PersonOCC Enforcement Actions
- Julian, DavidOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Julian, David. The recorded action date is 25 Apr 2025.PersonOCC Enforcement Actions
- Neighborhood National BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Neighborhood National Bank. The recorded action date is 12 Apr 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Bernard, James A.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Bernard, James A.. The recorded action date is 14 Mar 1993.PersonOCC Enforcement Actions
- Stumpf, JohnOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Stumpf, John. The recorded action date is 22 Jan 2020.PersonOCC Enforcement Actions
- Kuechle, ValerianOffice of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Kuechle, Valerian. The recorded action date is 26 Oct 2016.PersonOCC Enforcement Actions
- Portage National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Portage National Bank. The recorded action date is 18 Oct 2000. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Texas Community 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 Texas Community Bank, National Association. The recorded action date is 15 Sep 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Polk, John C.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Polk, John C.. The recorded action date is 21 Dec 1999.PersonOCC Enforcement Actions
- The Farmers National Bank of CynthianaOffice of the Comptroller of the Currency records “Formal Agreement” for The Farmers National Bank of Cynthiana. The recorded action date is 19 Feb 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Abercrombie, ManleyOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Abercrombie, Manley. The recorded action date is 1 Nov 1991.PersonOCC Enforcement Actions
- Hudgins, GeorgeOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Hudgins, George. The recorded action date is 17 May 1994.PersonOCC Enforcement Actions
- Federal City National BankOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Federal City National Bank. The recorded action date is 1 Oct 1991. 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.