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
- Grabowski, Patrick F.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Grabowski, Patrick F.. The recorded action date is 22 Nov 1996.PersonOCC Enforcement Actions
- The First National Bank of WaterlooOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for The First National Bank of Waterloo. The recorded action date is 16 Aug 2000.OrganizationOCC Enforcement Actions
- Snyder, John K.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Snyder, John K.. The recorded action date is 19 Aug 1996.PersonOCC Enforcement Actions
- Garza, AlfonsoOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Garza, Alfonso. The recorded action date is 27 Jan 1993.PersonOCC Enforcement Actions
- TCF National BankOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for TCF National Bank. The recorded action date is 28 Apr 2016.OrganizationOCC Enforcement Actions
- First National Bank And Trust Company Of The Treasure CoastOffice of the Comptroller of the Currency records “Formal Agreement” for First National Bank And Trust Company Of The Treasure Coast. The recorded action date is 19 Feb 1991. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Ahluwalia, RidhimaOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Ahluwalia, Ridhima. The recorded action date is 27 Aug 2020.PersonOCC Enforcement Actions
- The Park Avenue Bank, N.A.Office of the Comptroller of the Currency records “Formal Agreement” for The Park Avenue Bank, N.A.. The recorded action date is 2 Nov 2001. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Home Loan Investment 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 Home Loan Investment Bank, F.S.B.. The recorded action date is 6 Oct 2010. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Mulder, William BrianOffice of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Mulder, William Brian. The recorded action date is 3 Sep 2020.PersonOCC Enforcement Actions
- Ben Franklin Bank of IllinoisOffice of the Comptroller of the Currency records “Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)” for Ben Franklin Bank of Illinois. The recorded action date is 25 Nov 2015. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Stearns 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 Stearns Bank National Association. The recorded action date is 18 Apr 2016. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Kepp, Warren B.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Kepp, Warren B.. The recorded action date is 1 Mar 1990.PersonOCC Enforcement Actions
- Shank, CliffordOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Shank, Clifford. The recorded action date is 17 Jul 1990.PersonOCC Enforcement Actions
- Brown, BillyOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Brown, Billy. The recorded action date is 22 Sep 1994.PersonOCC Enforcement Actions
- Moffat, DavidOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Moffat, David. The recorded action date is 14 Aug 2006.PersonOCC Enforcement Actions
- Schlindwein, SyndiOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Schlindwein, Syndi. The recorded action date is 27 Oct 2016.PersonOCC Enforcement Actions
- Bankers Trust Of California, N.A.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Bankers Trust Of California, N.A.. The recorded action date is 20 Dec 1991.OrganizationOCC Enforcement Actions
- Zgrepski, SandraOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Zgrepski, Sandra. The recorded action date is 26 May 2000.PersonOCC Enforcement Actions
- Dear, MarshallOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Dear, Marshall. The recorded action date is 9 Jun 1995.PersonOCC Enforcement Actions
- The First National Bank Of LoganOffice of the Comptroller of the Currency records “Formal Agreement” for The First National Bank Of Logan. The recorded action date is 7 Jul 1992. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Shanteau-Jackson, KailaOffice of the Comptroller of the Currency records “1829 Prohibition Notification” for Shanteau-Jackson, Kaila. The recorded action date is 11 Dec 2025.PersonOCC Enforcement Actions
- Texas Guaranty National BankOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Texas Guaranty National Bank. The recorded action date is 19 Aug 1991.OrganizationOCC Enforcement Actions
- Monument National BankOffice of the Comptroller of the Currency records “Prompt Corrective Action (PCA) Directive” for Monument National Bank. The recorded action date is 1 Sep 1998. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Baker, John F.Office of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Baker, John F.. The recorded action date is 1 Dec 1993.PersonOCC Enforcement Actions
- Gateway National Bank of St. LouisOffice of the Comptroller of the Currency records “Formal Agreement” for Gateway National Bank of St. Louis. The recorded action date is 24 Mar 2000. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Mutual of Omaha BankOffice of the Comptroller of the Currency records “Civil Money Penalty (CMP)” for Mutual of Omaha Bank. The recorded action date is 12 Dec 2013.OrganizationOCC Enforcement Actions
- Ward, HenryOffice of the Comptroller of the Currency records “Prohibition/Removal Orders” for Ward, Henry. The recorded action date is 3 Dec 1991.PersonOCC Enforcement Actions
- Bank Of New England - West 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 New England - West National Association. The recorded action date is 11 May 1990. This source entry is excluded from current screening matches.OrganizationOCC Enforcement Actions
- Lewis, Robert W.Office of the Comptroller of the Currency records “C&D or PC&D Requiring Restitution” for Lewis, Robert W.. The recorded action date is 17 Dec 1997.PersonOCC 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.