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Enforcement Actions Search Tool

Formal enforcement actions taken by the OCC are available to the public through this Web site.

Note: Enforcement actions taken against federally chartered savings associations prior to July 21, 2011, are only available in the OTS Enforcement Order Archive (XLS). For information about the data fields used in this spreadsheet, refer to the Enforcement Order Listing Definitions (PDF).

To search the OCC's formal enforcement actions, select one type of action or “All” types of actions by:

  • Institution or
  • Institution-affiliated party (IAP)
  • Year (and, optionally, a specific month)
  • Specific institution-affiliated party's (IAP's) name, or
  • Institution name

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Main Selections
  Definitions
   Definitions
 
 
Optional Selections

(Completed Actions)

The OCC supervises the following entities and has the statutory authority to take enforcement actions against them:

  • National banks and their subsidiaries
  • Federally chartered savings associations and their subsidiaries
  • Federal branches and agencies of foreign banks
  • Institution-affiliated parties (IAPs), including:
    1. Officers, directors, and employees
    2. A bank's controlling stockholders, agents, and certain other individuals.

Generally, the OCC may take formal enforcement actions for violations of laws, rules or regulations, unsafe or unsound practices, violations of final orders, violations of conditions imposed in writing, and for IAP's breaches of fiduciary duty.

All formal enforcement actions, except formal agreements, entered into subsequent to August 8, 1989, have been public in accordance with the Financial Institutions Reform, Recovery and Enforcement Act of 1989. Formal agreements entered into subsequent to November 29, 1990, have been public in accordance with the Crime Control Act of 1990. In addition, securities enforcement actions before and after August 8, 1989, are publicly available.

To obtain a paper copy of an order, agreement, or directive, you may submit a request electronically through the OCC's online FOIA site. You can also obtain copies by writing to the Comptroller of the Currency, Communications Division, Suite 3E-218, Mail Stop 6W-11, Washington, DC 20219. Your request should include name of the banking organization and the individual, if any, the Enforcement Action Number (EA No.) listed, and a method of sending the document to you (email, postal address, or telephone number for arranging pick-up).

Enforcement actions against financial institutions or their institution affiliated parties that are not regulated by the OCC can be, or in the future will be, found at the web site of the financial institutions' federal regulators: