Office of the Comptroller of the Currency

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Banco de Galicia Y Buenos Aires S.A. 80109   New York, NY C&D $0 03/11/2002 01/30/2003    
Banco de LA Republica Oriental Del Uruguay 80029   New York, NY FA $0 08/14/2002 05/01/2007  
Bank of America Texas, N.A. 22429 Wallace, Sheryl L. Houston, TX Prohibition $0 09/23/2002      
Bank of America Texas, N.A. 22429 Wallace, Sheryl L. Houston, TX REST $20,000 09/23/2002      
Bank of America, National Association 13044 Nguyen, Bien C. Charlotte, NC C&D $0 12/03/2002      
Bank of America, National Association 13044 Nguyen, Bien C. Charlotte, NC REST $15,208 12/03/2002      
Bank of China 80028   New York, NY C&D $0 01/17/2002 10/23/2003  
Bank of China 80028   New York, NY CMP $10,000,000 01/17/2002 N/A N/A  
Bank of China 80091   New York, NY C&D $0 01/17/2002 10/23/2003  
Bank of China 80096   Los Angeles, CA C&D $0 01/17/2002 10/23/2003  
Bank of China 80028 Gao, Jian Hua New York, NY C&D $0 08/23/2002      
Bank of China 80028 Jian, Xiang Wen ("Simon") New York, NY C&D $0 10/31/2002      
Bank of China 80028 Jiang, Ming New York, NY Prohibition $0 09/23/2002      
Bank of China 80028 Jie, Li Chuan New York, NY CMP $5,000 09/03/2002 N/A N/A  
Bank of China 80028 Li, Chuan Jie New York, NY Prohibition $0 09/03/2002      
Bank of China 80028 Luo, Jia Shu New York, NY Prohibition $0 09/03/2002      
Bank of China 80028 Luo, Jia Shu New York, NY CMP $10,000 09/03/2002 N/A N/A  
Bank of China 80028 Wen, Jian Xiang New York, NY CMP $5,000 10/31/2002 N/A N/A  
Bank of China 80028 Young, Patrick New York, NY Prohibition $0 10/31/2002      
Bank of China 80028 Young, Patrick New York, NY CMP $20,000 10/31/2002 N/A N/A  
Bank One, Kentucky, National Association 14320 Gray, Downey M. Louisville, KY C&D $0 09/18/2002      
Bay View Bank, National Association 23770 Hakes, Donald W. San Mateo, CA CMP $3,000 04/10/2002 N/A N/A  
Bay View Bank, National Association 23770 Bay View Franchise Mortgage Acceptance Corp. Saei, Michael San Mateo, CA CMP $10,000 04/10/2002 N/A N/A  
Belmont National Bank 14050 Wallace, William Wheeling, WV Prohibition $0 06/05/2002      
Belmont National Bank 14050 Wallace, William Wheeling, WV CMP $5,000 06/05/2002 N/A N/A AA-EC-00-26  
Carnegie Bank, National Association 22217 Ponder, James E. Langhorne, PA Prohibition $0 01/18/2002      
Citizens National Bank & Trust Of Hazard 22988 Campbell, Laura Gorman Hazard, KY Prohibition $0 12/18/2002      
Citizens National Bank & Trust Of Hazard 22988 Fields, Donald Hazard, KY C&D $0 10/21/2002     AA-EC-02-09  
Commerce Bank, N.A. 17094 O'Neil, Susan P. Mt. Laurel, NJ Prohibition $0 01/31/2002      
Community First Bank, National Association 4908   Reynoldsville, PA FA $0 05/17/2002 12/14/2004  
Community National Bank 3156   Metropolis, IL FA $0 06/27/2002 08/31/2004    
Cumberland National Bank 23917   St. Mary's, GA FA $0 04/11/2002 10/09/2003  
Delta National Bank 16154   Manteca, CA C&D $0 02/12/2002 02/24/2004  
Direct Merchants Credit Card Bank, N.A. 22734   Scottsdale, AZ FA $0 04/16/2002 03/18/2003  
East Texas National Bank Of Marshall 18297 Cavender, R. Stephen Marshall, TX Prohibition $0 02/01/2002     AA-EC-01-13  
East Texas National Bank Of Marshall 18297 Cavender, R. Stephen Marshall, TX C&D $0 02/01/2002      
East Texas National Bank Of Marshall 18297 Cavender, R. Stephen Marshall, TX REST $100,000 02/01/2002      
Excel Bank, N.A. 16629   New York, NY FA $0 04/11/2002 09/24/2002  
Excel Bank, National Association 16629   New York, NY FA $0 09/24/2002 12/30/2005  
Executive National Bank 15974 Young, G. Craig Miami, FL CMP $3,000 09/20/2002 N/A N/A  
Fidelity National Bank 16516   Medford, WI FA $0 03/26/2002 05/10/2004  
Fidelity National Bank 16275   Norcross, GA CMP $50,000 10/08/2002 N/A N/A  
Fidelity National Bank 16275 Perry, James H. Norcross, GA C&D $0 10/10/2002      
First Consumers National Bank 21688   Beaverton, OR C&D $0 05/15/2002 11/29/2005   AA-EC-02-04  
First Farmers and Merchants National Bank 14710   Columbia, TN FA $0 09/03/2002 04/07/2004  
First National Bank 13170   Glen Rose, TX FA $0 02/21/2002 10/24/2002  
First National Bank 14012   George West, TX FA $0 01/09/2002 10/21/2002  
First National Bank 20214   Tarpon Springs, FL FA $0 08/28/2002 01/19/2005  
First National Bank 14252   Ft. Pierre, SD FA $0 07/18/2002 12/22/2004  
First National Bank at Darlington 14184   Darlington, WI C&D $0 05/07/2002 03/18/2004  
First National Bank in Georgetown 13448   Georgetown, IL FA $0 04/03/2002 04/23/2004  
First National Bank of Cherokee 21836   Woodstock, GA FA $0 07/22/2002 08/13/2003  
First National Bank of Clinton 14259   Clinton, KY FA $0 10/02/2002 03/06/2003  
First National Bank of Dublin 20026   Dublin, TX FA $0 03/19/2002 03/01/2004  
First National Bank of Limon 11504   Limon, CO FA $0 07/10/2002 01/30/2003  
First National Bank Of Lucedale 15850 Ashley, Kelly Y. Lucedale, MS Prohibition $0 01/18/2002     AA-EC-01-17  
First National Bank of Mexia 12190   Mexia, TX FA $0 07/22/2002 07/16/2004  
First National Bank of Newton 12898   Newton, TX FA $0 12/17/2002 09/29/2004  
First National Bank of Northern Kentucky 22439   Fort Mitchell, KY PCAD $0 09/04/2002 02/11/2003  
First National Bank of Shelby County 14590   Columbiana, AL FA $0 10/11/2002 05/18/2005 AA-EC-2004-95  
First National Bank of Steeleville 14437   Steeleville, IL FA $0 08/28/2002 12/14/2004  
First National Bank of Strasburg 11640 Cole, George J. Strasburg, CO Prohibition $0 07/30/2002      
First National Bank of Strasburg 11640 Cole, George J. Strasburg, CO REST $2,500 07/30/2002      
First Professional Bank 17423 Mounce, Gary W. Santa Monica, CA Prohibition $0 01/15/2002     AA-EC-01-10  
First Professional Bank 17423 Mounce, Gary W. Santa Monica, CA CMP $8,000 01/15/2002 N/A N/A  
First Suburban National Bank 14470 Price, Martin Maywood, IL C&D $0 03/18/2002      
First Suburban National Bank 14470 Price, Martin Maywood, IL CMP $25,000 03/18/2002 N/A N/A  
Goleta National Bank 21699   Goleta, CA C&D $0 10/28/2002 10/21/2003 AA-EC-02-18  
Goleta National Bank 21699   Goleta, CA CMP $75,000 10/28/2002 N/A N/A AA-EC-02-18  
Goleta National Bank 21699 Ace Cash Express, Inc.   Goleta, CA C&D $0 10/25/2002 02/14/2018 AA-EC-02-19  
Goleta National Bank 21699 Ace Cash Express, Inc.   Goleta, CA CMP $250,000 10/25/2002 N/A N/A AA-EC-02-19  
Guaranty National Bank of Tallahassee 21162   Tallahassee, FL FA $0 01/25/2002 05/02/2003  
Harbor Bank, National Association 23218   Gig Harbor, WA C&D $0 05/10/2002 10/01/2002    
Harbor Capital National Bank 23850   Rockville, MD FA $0 05/06/2002 10/29/2003  
Henderson National Bank 23955   Henderson, KY FA $0 06/10/2002 12/08/2004  
Hiawatha National Bank 15698   Hager City, WI FA $0 03/18/2002 05/23/2007  
Industrial Bank, National Association 22850 Chapman, Clinton W. Oxon Hill, MD CMP $5,000 09/30/2002 N/A N/A  
Industrial Bank, National Association 22850 Fleming, Massie Oxon Hill, MD CMP $5,000 09/30/2002 N/A N/A  
Industrial Bank, National Association 22850 King, Benjamin L. Oxon Hill, MD CMP $2,000 09/30/2002 N/A N/A  
Industrial Bank, National Association 22850 Mitchell, B. Doyle Oxon Hill, MD CMP $5,000 09/30/2002 N/A N/A  
Industrial Bank, National Association 22850 Mitchell, Cynthia T. Oxon Hill, MD CMP $5,000 09/30/2002 N/A N/A  
Industrial Bank, National Association 22850 Williams, Emerson Oxon Hill, MD CMP $5,000 09/30/2002 N/A N/A  
Industrial Bank, National Association 22850 Windsor, George H. Oxon Hill, MD CMP $5,000 09/30/2002 N/A N/A  
Keybank National Association 14761 Emerick, Jayna N. Cleveland, OH Prohibition $0 09/09/2002      
Keybank National Association 14761 Emerick, Jayna N. Cleveland, OH REST $5,000 09/09/2002      
Luzerne National Bank 8921   Luzerne, PA FA $0 10/10/2002 10/12/2005    
Marquette Bank Minneapolis, National Association 11861 Tyus, Cynthia D. Minneapolis, MN Prohibition $0 08/23/2002      
Mauriceville National Bank 20548 Thornton, Deon Mauriceville, TX Prohibition $0 08/23/2002     AA-EC-02-02  
Mbna America Bank, N.A. 22381 White, Lori S. Wilmington, DE Prohibition $0 04/08/2002      
Mbna America Bank, N.A. 22381 White, Lori S. Wilmington, DE REST $11,305 04/08/2002      
Mellon Bank, Na 6301 Wenger, Terri S. Wilkes-Barre, PA Prohibition $0 01/18/2002      
Nara Bank, National Association 21669   Los Angeles, CA C&D $0 02/20/2002 01/22/2003  
National Bank of Andover 18478   Andover, KS FA $0 09/26/2002 05/03/2004  
North Cascades National Bank 21107   Chelan, WA FA $0 04/08/2002 04/16/2003  
Ohio Legacy Bank, National Association 23957   Wooster, OH FA $0 06/18/2002 10/01/2004  
Parish National Bank 15642 Gorney, Paul Covington, LA Prohibition $0 03/13/2002      
Parish National Bank 15642 Gorney, Paul Covington, LA CMP $100,000 03/13/2002 N/A N/A  
PNC Bank, National Association 1316   Pittsburgh, PA FA $0 07/17/2002 09/26/2003  
PNC Bank, National Association 1316 Gindele, Rachel E. Pittsburgh, PA C&D $0 12/03/2002      
Prime Pacific Bank, National Association 22769   Lynnwood, WA FA $0 06/12/2002 12/10/2003  
Riverside National Bank of Florida 17437 Mitchell, Lewis Edward Fort Pierce, FL C&D $0 11/18/2002      
Riverside National Bank of Florida 17437 Phanco, Darlene Fort Pierce, FL Prohibition $0 06/07/2002      
Seaway National Bank Of Chicago 15459   Chicago, Il C&D $0 01/22/2002 11/07/2002  
Seaway National Bank of Chicago 15459   Chicago, IL C&D $0 11/07/2002 04/29/2002  
Sequoia National Bank 21337   San Francisco, CA C&D $0 04/10/2002 04/30/2005    
Stebbins National Bank 14709 Stebbins, James C. Creston, OH CMP $5,000 04/23/2002 N/A N/A  
Steel Valley Bank, National Association 14011   Dillonvale, OH FA $0 07/12/2002 01/03/2005    
Surety Bank, National Association 15187 Gardner, Bonnie Fort Worth, TX Prohibition $0 09/16/2002      
Texas First National Bank 18558   Houston, TX C&D $0 07/17/2002 01/18/2006  
The Dublin National Bank 4865   Dublin, TX FA $0 12/17/2002 10/27/2004    
The Farmers National Bank of Winfield 10640   Mt. Pleasant, IA FA $0 12/16/2002 02/03/2004  
The First National Bank & Trust Company of Beatrice 2357   Beatrice, NE C&D $0 04/12/2002 09/06/2008    
The First National Bank of Arenzville 9183 Millard, Brian Arenzville, IL CMP $0 08/13/2002 N/A N/A  
The First National Bank of Chelsea 5955   Chelsea, OK FA $0 06/18/2002 08/10/2005  
The First National Bank of Germantown 86   Germantown, OH C&D $0 05/23/2002 11/29/2004  
The First National Bank of Mayfield 2245   Mayfield, KY FA $0 08/21/2002 09/01/2004  
The First National Bank of Mt. Pulaski 3839   Mt. Pulaski, IL C&D $0 12/17/2002 02/14/2007  
The First National Bank of O'Donnell 12831   O'Donnell, TX FA $0 06/13/2002 12/19/2003    
The First National Bank of Shelby 1929   Shelby, OH FA $0 10/29/2002 10/08/2004    
The First National Bank of Slippery Rock 6483   Slippery Rock, PA FA $0 10/15/2002 10/08/2004    
The First National Bank of St. Marys 5226   Saint Marys, WV C&D $0 04/23/2002 04/05/2006  
The First National Bank of Wamego 3434   Wamego, KS FA $0 09/18/2002 10/13/2005  
The Hemisphere National Bank 16776   Miami, FL FA $0 06/03/2002 05/06/2004  
The Lake Bank, National Association 24048   Two Harbors, MN FA $0 06/21/2002 03/20/2003  
The Upstate National Bank 12018   Lisbon, NY C&D $0 03/22/2002 11/04/2004  
Trustco Bank, National Association 22844   Town of Glenville (Scotia), NY FA $0 08/22/2002 11/15/2002    
Tuscola National Bank 14434   Tuscola, IL FA $0 03/20/2002 01/14/2005  
U.S. Bancorp 500016 Medina, Jenny R. Denver, CO Prohibition $0 03/18/2002      
U.S. Bancorp 500016 Miller, Shawn N. Fargo, ND Prohibition $0 02/08/2002      
U.S. Bank National Association 24 Gibson, Alexis G. Cincinnati, OH Prohibition $0 11/21/2002      
Union Bank of Arizona, National Association 23330   Gilbert, AZ C&D $0 07/31/2002 02/24/2004  
Union Federal Bank of Indianapolis 708529 Gulli, Michelle Indianapolis, IN Prohibition $0 11/15/2002
ATL-2002-16
 04/26/2013  
United National Bank 5621 Williams, Sultan K. Bridgewater, NJ C&D $0 12/23/2002     AA-EC-99-23  
Valley Bank (National Association) 23068   Elk Point, SD C&D $0 10/21/2002 11/23/2004  
Valley National Bank 15790 Wilson, Hazel L. Wayne, NJ Prohibition $0 04/08/2002      
Wachovia Corporation 500609 Hudson, Kevin C. Charlotte, NC Prohibition $0 07/01/2002      
Washington State Bank, National Association 23709   Federal Way, WA FA $0 08/12/2002 09/07/2006  
Wells Fargo Bank, National Association 1741 Feispor, Rashel San Francisco, CA Prohibition $0 08/06/2002      
Zions First National Bank 4341 Tullis, R. Matthew Salt Lake City, UT Prohibition $0 02/21/2002     AA-EC-01-14  
Zions First National Bank 4341 Tullis, R. Matthew Salt Lake City, UT CMP $4,000 02/21/2002 N/A N/A  
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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.