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.
- Latest successful check
- Our refresh schedule
- Every 24 hours
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
- Peoples National Bank of MoraOffice of the Comptroller of the Currency records “Formal Agreement” for Peoples National Bank of Mora. The recorded action date is 22 Jan 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Brown, Roger A.Office of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Brown, Roger A.. The recorded action date is 7 Feb 2014.PersonOCC Enforcement Actions
- Gross, EduardoOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Gross, Eduardo. The recorded action date is 14 Apr 2011.PersonOCC Enforcement Actions
- Ruhf, Thomas J.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Ruhf, Thomas J.. The recorded action date is 17 Jun 1994.PersonOCC Enforcement Actions
- Boatmen's National Bank Of Des MoinesOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Boatmen's National Bank Of Des Moines. The recorded action date is 15 Jan 1992.OrganizationOCC Enforcement Actions
- Wheeler, R. ScottOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Wheeler, R. Scott. The recorded action date is 20 Sep 1999.PersonOCC Enforcement Actions
- Capital One Home LoansOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Capital One Home Loans. The recorded action date is 16 Jan 2009.OrganizationOCC Enforcement Actions
- Hopkins, Elaine J.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Hopkins, Elaine J.. The recorded action date is 15 Nov 2010.PersonOCC Enforcement Actions
- Neeley, GarryOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Neeley, Garry. The recorded action date is 24 Jul 1995.PersonOCC Enforcement Actions
- Corbin, Barry L.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Corbin, Barry L.. The recorded action date is 3 Jan 2007.PersonOCC Enforcement Actions
- Pikes Peak National BankOffice of the Comptroller of the Currency records “Formal Agreement” for Pikes Peak National Bank. The recorded action date is 27 Feb 2009. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Ellsworth, Steven J.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Ellsworth, Steven J.. The recorded action date is 23 Mar 2016.PersonOCC Enforcement Actions
- Guler, Eric T.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Guler, Eric T.. The recorded action date is 20 Aug 2018.PersonOCC Enforcement Actions
- Barbieri, Richard D.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Barbieri, Richard D.. The recorded action date is 27 Apr 1993.PersonOCC Enforcement Actions
- Fieldpoint Private Bank & TrustOffice of the Comptroller of the Currency records “Formal Agreement” for Fieldpoint Private Bank & Trust. The recorded action date is 29 Nov 2012. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Britton, DaneOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Britton, Dane. The recorded action date is 8 Sep 1992.PersonOCC Enforcement Actions
- JPMorgan Chase Bank, National AssociationOffice of the Comptroller of the Currency records “Formal Agreement” for JPMorgan Chase Bank, National Association. The recorded action date is 22 Feb 2012. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Kell, Thomas P.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Kell, Thomas P.. The recorded action date is 4 Apr 2006.PersonOCC Enforcement Actions
- Lamb, R. PatrickOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Lamb, R. Patrick. The recorded action date is 30 Aug 2011.PersonOCC Enforcement Actions
- Olivares, VanessOffice of the Comptroller of the Currency records “1829 Prohibition Notification” for Olivares, Vaness. The recorded action date is 27 Jul 2026.PersonOCC Enforcement Actions
- Kang, Dong SukOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Kang, Dong Suk. The recorded action date is 21 Oct 1993.PersonOCC Enforcement Actions
- Jones, MiltonOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Jones, Milton. The recorded action date is 3 Jan 2017.PersonOCC Enforcement Actions
- Stark, Rafeal WebbOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Stark, Rafeal Webb. The recorded action date is 5 Aug 2019.PersonOCC Enforcement Actions
- The Planters National Bank of RosebudOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for The Planters National Bank of Rosebud. The recorded action date is 9 Aug 1990. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Burton, Eric A.Office of the Comptroller of the Currency records “Prohibition/Removal Orders” for Burton, Eric A.. The recorded action date is 9 Dec 1999.PersonOCC Enforcement Actions
- Mulder, William BrianOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Mulder, William Brian. The recorded action date is 3 Sep 2020.PersonOCC Enforcement Actions
- City National Bank of FloridaOffice of the Comptroller of the Currency records “Formal Agreement” for City National Bank of Florida. The recorded action date is 19 Apr 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Gonzalez, JuanOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Gonzalez, Juan. The recorded action date is 19 Dec 2007.PersonOCC Enforcement Actions
- Sumner National Bank of SheldonOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Sumner National Bank of Sheldon. The recorded action date is 20 Jul 2015.OrganizationOCC Enforcement Actions
- First Central Bank McCook, National AssociationOffice of the Comptroller of the Currency records “Formal Agreement” for First Central Bank McCook, National Association. The recorded action date is 1 Dec 2003. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
Screen customers against the US OCC Enforcement Actions
Start free250 free live screenings • One lifetime allowance • API + dashboard • No credit card
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.
Continue exploring
Source discovery reference: OpenSanctions source catalog, captured . Import and record counts above come from SanctionsKit.