Office of the Comptroller of the Currency

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American Independent Bank, N.A. 18092   Gardena, CA FA $0 07/28/1998
98-40
 10/01/1998
98-64
  
Banco Do Estado Do Parana S.A. 80059   New York, NY C&D $0 01/08/1998 01/18/2001    
Banco Nacional National Association 18719 Alegria, Jose E. Hato Rey, PR Prohibition $0 02/02/1998
98-14
     AA-EC-96-22  
Banco Nacional National Association 18719 Alegria, Jose E. Hato Rey, PR CMP $10,000 02/02/1998
98-14
 N/A N/A AA-EC-96-22  
Bank Of America Texas, N.A. 22429 Lisbony, Daniel Irving, TX Prohibition $0 04/10/1998
98-17
      
Bank Of America Texas, N.A. 22429 Lisbony, Daniel Irving, TX REST $8,781 04/10/1998
98-17
      
Bank Of America, N.T. & S.A. 13044 Espiritu, Elena San Francisco, CA Prohibition $0 09/08/1998
98-50
     AA-EC-98-04  
Bank Of America, N.T. & S.A. 13044 Espiritu, Elena San Francisco, CA REST $2,550 06/16/1998
98-63
     AA-EC-98-04  
Bank Of The Desert, N.A. 18731 Salmon, Richard Indio, CA Prohibition $0 07/27/1998
98-38
     AA-EC-97-05  
Bank Of The Desert, N.A. 18731 Salmon, Richard Indio, CA CMP $25,000 07/08/1998
98-75
 N/A N/A AA-EC-97-05  
Bank Of The Desert, N.A. 18731 Salmon, Richard Indio, CA REST $813,671 07/08/1998
98-75
     AA-EC-97-05  
Bremer Bank, N.A. 2567   Crookston, MN FA $0 12/10/1998
98-86
 08/01/2000 AA-EC-96-14  
Broad National Bank 12771   Newark, NJ FA $0 11/19/1998
98-66
 07/31/1999    
Broadway National Bank 20622   New York, NY C&D $0 04/13/1998
98-1
 02/27/2003  
Capital Bank, N.A. 16338 Nazar, Salem E. Rockville, MD C&D $0 02/27/1998
98-11
     AA-EC-98-03  
Capital Bank, N.A. 16338 Nazar, Salem E. Rockville, MD CMP $177,034 02/27/1998
98-11
 N/A N/A AA-EC-98-02  
Capital Bank, N.A. 16338 Rozenblum, Horacio Bernardo Rockville, MD CMP $261,000 01/30/1998
98-6
 N/A N/A AA-EC-97-12  
Capital Bank, National Association 16338 Rozenblum, Horacio Bernardo Rockville, MD C&D $0 01/30/1998
98-6
 08/16/2011 AA-EC-97-12  
Duncanville National Bank 18244   Duncanville, TX C&D $0 01/22/1998
98-61
 08/26/1999    
East Texas National Bank 18297   Marshall, TX C&D $0 08/25/1998
98-62
 07/09/1999    
Evergreen Bank, N.A. 23221 Dahlman, Dawn M. Poy Sippi, WI Prohibition $0 09/25/1998     AA-EC-98-8  
Evergreen Bank, N.A. 23221 Dahlman, Jeffrey P. Poy Sippi, WI Prohibition $0 09/25/1998
98-56
     AA-EC-98-7  
Evergreen Bank, N.A. 23221 Redemann, James J. Poy Sippi, WI Prohibition $0 11/30/1998
98-76
     AA-EC-98-09  
First National Bank in Burkburnett 13668   Burkburnett, TX C&D $0 07/15/1998
98-34
 09/14/1998
98-92
  
First National Bank in Durant, The 14005 Dufur, Alan D. Durant, OK C&D $0 08/12/1998
98-41
      
First National Bank in Durant, The 14005 Dufur, Alan D. Durant, OK CMP $1,000 08/12/1998
98-41
 N/A N/A  
First National Bank In Pawhuska 8313   Pawhuska, OK FA $0 10/01/1998
98-67
 09/21/2001  
First National Bank Of Crestview 14766 Clark, Timothy M. Crestview, FL CMP $20,000 12/18/1998
98-88
 N/A N/A AA-WD-95-31  
First National Bank Of Crestview 14766 Clark, W. Max Crestview, FL CMP $5,000 12/18/1998
98-89
 N/A N/A AA-EC-96-07  
First National Bank Of Rotan 23182   Rotan, TX FA $0 10/15/1998
98-74
 11/16/1999
99-101
  
First Suburban National Bank 14470   Maywood, IL CMP $3,000 02/02/1998
98-12
 N/A N/A  
Gold Country National Bank 20862   Brownsville, CA FA $0 09/29/1998
98-54
 11/30/1998
98-83
  
Heartland Bank, N.A. 22956   Jewell, KS C&D $0 05/18/1998 01/20/2000
2000-46
  
Heartland National Bank 23075   Herrin, IL FA $0 06/03/1998
98-31
 06/18/1999    
Industrial Bank, N.A. 22850   Oxon Hill, MD FA $0 08/25/1998
98-43
 04/21/2003  
Landmark Community Bank, N.A. 23193   Isanti, MN FA $0 12/14/1998
98-87
 11/15/2000 AA-EC-96-17  
Malta National Bank 2052   Malta, OH PCAD $0 05/05/1998
98-93
 10/28/1999
99-116
  
Merchants Bank of California, National Association 21371   Carson, CA SASO $0 12/22/1998
98-91
 07/01/1999    
Mission National Bank 17176   San Francisco, CA C&D $0 11/30/1998
98-69
 09/20/2000
2000-90
  
Monument National Bank 18156   Ridgecrest, CA PCAD $0 09/01/1998
98-51
 06/02/2000    
Nationsbank, N.A. 21834 Ferguson, Carlos Dallas, TX Prohibition $0 03/05/1998
98-16
      
Nationsbank, N.A. 14448 Wroble, Daniel R. Charlotte, NC C&D $0 04/30/1998
98-25
      
Nationsbank, N.A. 14448 NationsSecurities, Inc.   Charlotte, NC CMP $750,000 04/30/1998
98-24
 N/A N/A  
Nbd Bank, National Association 984 Howard, Stacey M. Indianapolis, IN Prohibition $0 01/26/1998
98-2
      
Northeast National Bank 21059   Mesquite, TX FA $0 08/14/1998
98-35
 10/18/2000
2000-129
  
Norwest Bank Arizona, Na 18295 Hernandez, Alta L. Phoenix, AZ Prohibition $0 01/06/1998
98-3
      
Norwest Bank Texas, National Association 14208 Bolton-Johnson, Schronda Lubbock, TX Prohibition $0 08/18/1998
98-49
     AA-EC-98  
Norwest Bank Texas, National Association 14208 Shriver, Kari Lubbock, TX Prohibition $0 08/18/1998
98-48
     AA-EC-98  
Nova Financial Corporation 601101 Nova Financial Corporation   Atlanta, GA C&D $0 07/08/1998
98-96
      
Nova Financial Corporation 601101 Nova Financial Corporation   Atlanta, GA C&D $0 07/01/1998
98-33
 08/13/1998    
Ocala National Bank 20613   Ocala, FL FA $0 09/03/1998 11/01/2001  
Park National Bank & Trust Of Chicago 14649 Allen, Raymond J. Chicago, IL CMP $40,000 04/10/1998
98-19
 N/A N/A  
Park National Bank & Trust Of Chicago 14649 Bernstein, Sheldon Chicago, IL CMP $2,000 01/26/1998
98-7
 N/A N/A  
Park National Bank & Trust Of Chicago 14649 Luczak, Marianne Chicago, IL C&D $0 01/26/1998
98-10
      
Park National Bank & Trust Of Chicago 14649 Luczak, Marianne Chicago, IL CMP $10,000 01/26/1998
98-10
 N/A N/A  
Park National Bank & Trust Of Chicago 14649 Mills, Robert Chicago, IL CMP $2,000 01/26/1998
98-8
 N/A N/A  
Park National Bank & Trust Of Chicago 14649 Roggeman, Alfred Chicago, IL C&D $0 01/26/1998
98-9
      
Park National Bank & Trust Of Chicago 14649 Roggeman, Alfred Chicago, IL CMP $10,000 01/26/1998
98-9
 N/A N/A  
Park National Bank And Trust Of Chicago 14649 Allen, Raymond J. Chicago, IL Prohibition $0 04/10/1998
98-19
      
Park National Bank And Trust Of Chicago 14649 Allen, Raymond J. Chicago, IL REST $26,700 04/10/1998
98-19
      
Park National Bank And Trust Of Chicago 14649 Anderson, Donald Chicago, IL C&D $0 04/10/1998
98-18
 07/21/2003  
Park National Bank And Trust Of Chicago 14649 Anderson, Donald Chicago, IL CMP $25,000 04/10/1998
98-18
 N/A N/A  
Peoples National Bank Of Commerce 14885 Aguirre, John Miami, FL Prohibition $0 05/05/1998      
Rio National Bank 18554   McAllen, TX FA $0 09/09/1998
98-70
 09/20/2001  
Surety Bank, National Association 15187   Hurst, TX FA $0 11/19/1998 02/18/2003  
The Community National Bank 17595   Franklin, OH FA $0 09/30/1998
98-60
 12/15/1998
98-84
  
The First National Bank of Dana 5997 Schroeder, Lee Dana, IN Prohibition $0 04/10/1998
98-53
      
The First National Bank of Dana 5997 Schroeder, Lee Dana, IN CMP $6,000 04/10/1998
98-53
 N/A N/A  
The First National Bank of Holdrege 3208 Erickson, P. William Holdrege, NE CMP $33,000 08/19/1998
98-44
 N/A N/A AA-EC-98-15  
The First National Bank of Holdrege 3208 Mueller, Gary R. Holdrege, NE CMP $7,500 08/19/1998
98-47
 N/A N/A AA-EC-98-12  
The First National Bank of Holdrege 3208 Rikli, Roger A. Holdrege, NE CMP $18,000 06/28/1998
98-36
 N/A N/A  
The First National Bank of Holdrege 3208 Schmoker, James G. Holdrege, NE CMP $7,500 08/19/1998
98-45
 N/A N/A AA-EC-98-13  
The First National Bank of Holdrege 3208 Slominski, Kenneth J. Holdrege, NE CMP $18,000 06/28/1998
98-37
 N/A N/A  
The First National Bank of Holdrege 3208 Sterr, Ronald L. Holdrege, NE CMP $8,500 08/19/1998
98-46
 N/A N/A AA-EC-98-14  
The First National Bank of Holdrege 3208 Verbeck, Margery A. Holdrege, NE CMP $1,500 07/31/1998
98-39
 N/A N/A  
The First National Bank Of Keystone 10369   Keystone, WV FA $0 05/28/1998
98-27
 09/01/1999    
The First National Bank Of Keystone 10369 Budnick, Julian G. Keystone, WV CMP $2,000 12/08/1998 N/A N/A  
The First National Bank Of Keystone 10369 Cherry, Billie J. Keystone, WV CMP $2,000 12/08/1998 N/A N/A  
The First National Bank Of Keystone 10369 Church, Terry L. Keystone, WV CMP $13,000 12/08/1998 N/A N/A  
The First National Bank Of Keystone 10369 Gibson, Michael F. Keystone, WV CMP $2,000 12/08/1998 N/A N/A  
The First National Bank Of Keystone 10369 Pais, Louis J. Keystone, WV CMP $2,000 12/08/1998 N/A N/A  
The First National Bank Of Keystone 10369 Ragos, Andres L. Keystone, WV CMP $2,000 12/08/1998 N/A N/A  
The First National Bank of Littlefield 12824   Littlefield, TX FA $0 12/14/1998
98-73
 07/08/2003    
The First National Bank of Logan 6771   Logan, IA FA $0 04/28/1998
98-23
 04/12/2000    
The First National Bank Of McClusky 8881   McClusky, ND FA $0 02/17/1998
98-15
 01/04/2001
2001-10
  
The First National Bank of Mt. Pulaski 3839   Mt. Pulaski, IL FA $0 07/01/1998
98-42
 12/17/2002  
The First National Bank Of O'Donnell 12831   O'Donnell, TX FA $0 07/29/1998
98-71
 04/27/2000
2000-47
  
The First National Bank Of Port Allegany 3877   Port Allegany, PA FA $0 01/28/1998
98-5
 01/18/2001
2001-17
  
Vermont National Bank 1430 George, William H. Brattleboro, VT Prohibition $0 05/18/1998
98-32
 05/18/2008
98-32
  
Western American National Bank 17620   Bedford, TX PCAD $0 04/06/1998
98-20
 01/11/2000
2000-14
  
Yampa Valley National Bank 16919   Hayden, CO FA $0 11/30/1998
98-72
 07/01/1999    
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January 2025 Update:

Enforcement actions issued since 2012 now have subject matters. Use advanced search to filter by “Subject Matter.”

Quick Links:

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:
    • Officers, directors, and employees
    • A bank's controlling stockholders, agents, and certain other individuals.

Notes:

  • The names of the banking organizations accessed through the Enforcement Action Search reflect the institutions' identities when the enforcement documents became final.
  • The orders do not necessarily reflect the current status of the regulatory action against the institution or the institution-affiliated party. You should use the Search function to determine if an order or notice has been modified or terminated.
  • Please reference OCC Bulletin 2023-16 and the related Policies and Procedures Manuals (PPMs) for additional information on enforcement actions against institution-affiliated parties (IAPs), national banks, federal savings associations, and federal branches and agencies of foreign banks.

Disclaimer:

  • 1829 - Prohibition Notifications*: Prohibition Notifications prior to December 23, 2022, do not appear on these lists due to statutory changes to 12 USC § 1829 pursuant to the Fair Hiring in Banking Act.
  • 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 OTS Enforcement Order Listing Definitions (PDF).
  • The Office of the Comptroller of the Currency expressly disclaims any responsibility for the acts of any individual or entity subject to an enforcement action, whether or not that individual or entity appears on these lists.
  • These lists are NOT guaranteed to be comprehensive.