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Americana National Bank 10903   Albert Lea, MN C&D $0 02/17/2004 01/06/2005 AA-EC-2003-10  
Americana National Bank 10903 Lindeman, Jon R. Albert Lea, MN Prohibition $0 02/01/2004      
Americana National Bank 10903 Lindeman, Jon R. Albert Lea, MN C&D $0 02/01/2004      
Americana National Bank 10903 Lindeman, Jon R. Albert Lea, MN CMP $10,000 02/01/2004 N/A N/A  
Asia Bank, N.A. 18432   Flushing, NY C&D $0 12/17/2004 08/01/2007 NE 2004-100  
Bank of America Corporation 500610 Maxwell, Aja Simone Charlotte, NC Prohibition $0 03/15/2004     AA-EC-22-03  
Bank of America Corporation 500610 Maxwell, Aja Simone Charlotte, NC REST $1,200 03/15/2004      
Bank of America, National Association 13044 Bowers, Brenda D. Charlotte, NC Prohibition $0 01/08/2004      
Bank of America, National Association 13044 Brooks, Calvin Charlotte, NC Prohibition $0 02/26/2004      
Bank of America, National Association 13044 Crews, Joseph Charlotte, NC Prohibition $0 11/04/2004       AA-EC-04-90  
Bank of America, National Association 13044 Crews, Joseph Charlotte, NC C&D $0 11/04/2004       AA-EC-04-90  
Bank of America, National Association 13044 Crews, Joseph Charlotte, NC REST $8,163 11/04/2004       AA-EC-04-90  
Bank of America, National Association 13044 Edmond, Stephanie Charlotte, NC Prohibition $0 07/14/2004      
Bank of America, National Association 13044 Edmond, Stephanie Charlotte, NC REST $18,436 07/14/2004      
Bank of America, National Association 13044 Poghosyan, Aznaour Charlotte, NC Prohibition $0 10/18/2004      
Bank of America, National Association 13044 Poghosyan, Aznaour Charlotte, NC REST $11,000 10/18/2004      
Bank One, National Association 8 Charoenlert, Nudchanart Chicago, IL Prohibition $0 05/06/2004     AA-EC-04-24  
Bank One, National Association 8 Charoenlert, Nudchanart Chicago, IL CMP $5,000 05/06/2004 N/A N/A  
Bank One, National Association 8 Volkert, Adam S. Chicago, IL Prohibition $0 06/14/2004     AA-EC-04-64  
Bank One, National Association 7621 Volkert, Adam S. Columbus, OH CMP $4,500 06/14/2004 N/A N/A  
Centennial National Bank 23157   Walker, MN FA $0 02/03/2004 12/14/2005  
Citizens Bank of Kansas, National Association 3509   Kingman, KS FA $0 08/19/2004 01/10/2007  
Citrus Bank, National Association 21980   Vero Beach, FL FA $0 08/19/2004 09/22/2006  
City National Bank 14695 Arpajian, Meline Beverly Hills, CA C&D $0 10/29/2004      
CNB National Bank 20496   Lake City, FL CMP $2,450 07/26/2004 N/A N/A  
Community First Bank, National Association 4908   Reynoldsville, PA FA $0 12/16/2004 08/11/2009  
Cortrust Bank National Association 23771   Mitchell, SD CMP $5,250 09/17/2004 N/A N/A  
Eagle National Bank of Miami 14804   Doral, FL C&D $0 12/21/2004 06/14/2007  
Excel Bank, National Association 16629 Nasser, Ezequiel Edmond New York, NY C&D $0 04/30/2004      
Excel Bank, National Association 16629 Nasser, Ezequiel Edmond New York, NY Prohibition $0 02/20/2004      
First Liberty National Bank 18739   Washington, DC C&D $0 04/23/2004 09/15/2006   AA-EC-04-06  
First Liberty National Bank 18739 Donahue, Patrick M. Washington, DC CMP $9,000 09/22/2004 N/A N/A AA-EC-04-27  
First Liberty National Bank 18739 Goel, K.C. Washington, DC CMP $4,500 09/22/2004 N/A N/A AA-EC-04-28  
First Liberty National Bank 18739 Jacquemin, John M. Washington, DC CMP $4,500 09/22/2004 N/A N/A AA-EC-03-30  
First Liberty National Bank 18739 Kumar, Dr. Shailendra Washington, DC CMP $6,000 09/22/2004 N/A N/A AA-EC-04-31  
First Liberty National Bank 18739 Mahoney, John J. Washington, DC CMP $9,000 09/22/2004 N/A N/A AA-EC-04-32  
First Liberty National Bank 18739 Mason, Arthur Washington, DC CMP $15,000 09/22/2004 N/A N/A AA-EC-04-26  
First Liberty National Bank 18739 Mohan, Madhu Washington, DC CMP $12,000 09/22/2004 N/A N/A AA-EC-04-33  
First National Bank 18479 Burns, Brian Lubbock, TX C&D $0 10/13/2004     AA-EC-04-51  
First National Bank 18479 Burns, Brian Lubbock, TX CMP $5,000 10/13/2004 N/A N/A  
First National Bank 18479 Carruth, Johnny Bob Lubbock, TX Prohibition $0 09/22/2004     AA-EC-04-50  
First National Bank 18479 Carruth, Johnny Bob Lubbock, TX CMP $5,000 09/22/2004 N/A N/A  
First National Bank 18479 Hobgood, Darrell Lubbock, TX C&D $0 09/28/2004     AA-EC-04-48  
First National Bank 18479 Hobgood, Darrell Lubbock, TX CMP $15,000 09/28/2004 N/A N/A  
First National Bank 18479 Hughes, Kathy Lubbock, TX Prohibition $0 05/20/2004      
First National Bank 18479 Hughes, Kathy Lubbock, TX CMP $25,000 05/20/2004 N/A N/A AA-EC-04-46  
First National Bank 18479 Morris, Kim Lubbock, TX C&D $0 09/03/2004      
First National Bank 18479 Morris, Kim Lubbock, TX CMP $18,000 09/03/2004 N/A N/A AA-EC-04-49  
First National Bank & Trust Company in Larned 7125   Larned, KS FA $0 04/09/2004 03/15/2005  
First National Bank and Trust 7890   London, KY FA $0 06/11/2004 10/10/2007  
First National Bank and Trust 3601   Phillipsburg, KS FA $0 06/07/2004 05/22/2006  
First National Bank and Trust 3601 Culbertson, Lloyd K. Phillipsburg, KS CMP $7,500 10/08/2004 N/A N/A  
First National Bank in Las Vegas 14636   Las Vegas, NM FA $0 09/07/2004 12/06/2006  
First National Bank of Jasper 14886 Ellis, Jamie Jasper, TX Prohibition $0 02/24/2004     AA-EC-03-31  
First National Bank of Jasper 14886 Wolford, Lisa Jasper, TX Prohibition $0 02/17/2004     AA-EC-03-30  
First National Bank of Marin 20291   Las Vegas, NV C&D $0 05/24/2004 08/24/2009 AA-EC-2004-61  
First National Bank of Marin 20291   Las Vegas, NV REST $10,000,000 05/24/2004      
First National Bank of West Union, The 13978   West Union, IA FA $0 01/09/2004 12/15/2004  
First National Bank, Graford 12437   Graford, TX FA $0 10/01/2004 08/06/2007  
First Security Interim Bank, National Association 23394 Barrett, Kimberly J. Salt Lake City, UT C&D $0 03/04/2004      
First Tennessee Bank National Association 336 Edmond, Stephanie Memphis, TN Prohibition $0 07/14/2004     AA-EC-03-24  
First Tennessee Bank National Association 336 Edmond, Stephanie Memphis, TN REST $4,000 07/14/2004      
First Union National Bank 1 Stewart, Charles Clay Charlotte, NC Prohibition $0 03/15/2004     AA-EC-04-19  
First Union National Bank 1 Stewart, Charles Clay Charlotte, NC REST $4,000 03/15/2004     AA-EC-04-19  
Fullerton National Bank 5384   Fullerton, NE C&D $0 09/21/2004 08/04/2005  
Gold Country Bank, National Association 20862   Marysville, CA FA $0 11/10/2004 04/30/2010  
Guaranty National Bank of Tallahassee 21162 Brooks, Calvin Tallahassee, FL Prohibition $0 02/26/2004      
Hamilton Bank, National Association 17675 Bingham, J. Reid Miami, FL C&D $0 02/17/2004      
Hamilton Bank, National Association 17675 Bingham, J. Reid Miami, FL CMP $25,000 02/17/2004 N/A N/A AA-EC-02-27  
Hamilton Bank, National Association 17675 Bingham, J. Reid Miami, FL REST $195,000 02/17/2004      
Hamilton Bank, National Association 17675 Martinez, Adolfo Miami, FL C&D $0 03/17/2004      
Hamilton Bank, National Association 17675 Martinez, Adolfo Miami, FL CMP $20,000 03/17/2004 N/A N/A AA-EC-02-24  
Hibernia National Bank 13688 Ball, Ado W. New Orleans, LA Prohibition $0 08/11/2004     AA-EC-04-60  
Home National Bank 9815 Fox, David Racine, OH CMP $5,000 05/12/2004 N/A N/A AA-EC-2004-39  
Home National Bank 9815 Hill, Marvin Racine, OH CMP $5,000 05/12/2004 N/A N/A AA-EC-2004-41  
Home National Bank 9815 Norris, Carroll Racine, OH CMP $5,000 05/12/2004 N/A N/A AA-EC-2004-38  
Home National Bank 9815 Roush, Wayne Racine, OH CMP $5,000 05/12/2004 N/A N/A AA-EC-2004-40  
Home National Bank 9815 Wolfe, John Racine, OH CMP $25,000 05/12/2004 N/A N/A AA-EC-2004-37  
Huntington National Bank 7745 Thomas-Nicholson, Dyann R. Columbus, OH Prohibition $0 09/29/2004      
Huntington National Bank 7745 Thomas-Nicholson, Dyann R. Columbus, OH REST $27,800 09/29/2004     AA-EC-04-72  
Industrial Bank, National Association 22850   Oxon Hill, MD FA $0 03/22/2004 12/13/2006  
Integra Bank National Association 12132 Stull, Brian Evansville, IN REST $38,544 11/04/2004     AA-EC-04-34  
Integra Bank National Association 12132 Stull, Brian Evansville, IN Prohibition $0 06/07/2004      
Integra Bank National Association 12132 Stull, Brian Evansville, IN CMP $25,000 06/07/2004 N/A N/A  
Integra Bank National Association 12132 Stull, Brian Evansville, IN REST $38,544 06/07/2004     AA-EC-04-34  
Interbusiness Bank, National Association 23999   Los Angeles, CA FA $0 05/06/2004 05/16/2005  
International Bank of Miami, National Association 15268   Coral Gables, FL C&D $0 10/18/2004 01/05/2009  
Mccurtain County National Bank 17269 Sheets, Evelyn Broken Bow, OK Prohibition $0 03/25/2004     AA-EC-04-23  
Mellon Bank, N.A. 6301 Bassett, Josiah C. Greensburg, PA Prohibition $0 05/24/2004     AA-EC-2004-01  
Mellon Bank, N.A. 6301 Bassett, Josiah C. Greensburg, PA REST $11,950 05/24/2004      
Mercedes National Bank 11879   Mercedes, TX FA $0 01/26/2004 11/28/2006  
Merchants Bank of California, National Association 21371   Carson, CA C&D $0 05/27/2004 11/18/2005  
Metropolitan Bank and Trust Company 80066   New York, NY C&D $0 12/15/2004 12/17/2008 NE 2004-101  
National Bank 14510   Hillsboro, IL FA $0 04/22/2004 06/14/2005  
National Bank of Petersburg 14607   Petersburg, IL FA $0 01/15/2004 09/22/2005  
National Independent Trust Company 24134   Ruston, LA FA $0 05/03/2004 10/28/2005  
New York National Bank 17197   Bronx, NY C&D $0 10/22/2004 01/01/2006    
New York National Bank 17197   Bronx, NY C&D $0 02/18/2004 01/01/2006    
Old National Bank 8846   Evansville, IN CMP $12,500 09/01/2004 N/A N/A  
Old National Bank 8846   Evansville, IN CMP $7,500 09/01/2004 N/A N/A AA-EC-04-78  
Omega Bank, National Association 10506   State College, PA CMP $2,700 05/24/2004 N/A N/A  
Pelican National Bank 23178 Calton, Melissa I. Naples, FL Prohibition $0 10/13/2004     AA-EC-04-73  
Peoples National Bank of Kewanee 14418   Kewanee, IL C&D $0 10/18/2004 12/20/2006  
Progressive Bank, National Association 16248   Wheeling, WV FA $0 12/15/2004 12/14/2006  
Riggs Bank National Association 5046   Mclean, VA C&D $0 05/13/2004 05/13/2005 AA-EC-04-54  
Riggs Bank National Association 5046   Mclean, VA CMP $25,000,000 05/13/2004 N/A N/A AA-EC-04-55  
Sinclair National Bank 23126 Chaitman, Helen Davis Gravette, AR CMP $10,000 09/22/2004 N/A N/A AA-EC-04-83  
Sinclair National Bank 23126 Wolf Haldenstein Adler Freeman & Herz, LLP   Gravette, AR C&D $0 11/30/2004      
Sinclair National Bank 23126 Wolf Haldenstein Adler Freeman & Herz, LLP   Gravette, AR REST $90,000 11/30/2004     AA-EC-04-94  
Steel Valley Bank, National Association 14011   Dillonvale, OH FA $0 07/27/2004 01/03/2005    
Stewardson National Bank, The 13226 Richards, John Stewardson, IL CMP $5,000 11/18/2004 N/A N/A  
Surety Bank, National Association 15187   Fort Worth, TX C&D $0 06/22/2004 06/01/2005    
The Beatrice National Bank and Trust Company 3081 Cook, William Beatrice, NE Prohibition $0 05/20/2004      
The Beatrice National Bank and Trust Company 3081 Cook, William Beatrice, NE CMP $15,000 05/20/2004 N/A N/A  
The Beatrice National Bank and Trust Company 3081 Workman, Jeffrey Beatrice, NE Prohibition $0 05/07/2004      
The Beatrice National Bank and Trust Company 3081 Workman, Jeffrey Beatrice, NE CMP $2,500 05/07/2004 N/A N/A AA-EC-04-52  
The First National Bank of Dana 5997   Dana, IN C&D $0 12/14/2004 12/22/2005  
The First National Bank of de Witt 10178   de Witt, AR FA $0 06/10/2004 06/08/2006  
The First National Bank of Evant 12739   Evant, TX FA $0 07/13/2004 04/17/2006  
The First National Bank of Gordon 8521   Gordon, NE FA $0 05/07/2004 03/15/2006  
The First National Bank of Mt. Pulaski 3839 Hollis, Jerry Mt. Pulaski, IL CMP $2,000 06/21/2004 N/A N/A AA-EC-04-58  
The First National Bank of Mt. Pulaski 3839 Schmidt, J. Gene Mt. Pulaski, IL CMP $2,500 07/08/2004 N/A N/A AA-EC-04-57  
The First National Bank of Newman Grove 5282   Newman Grove, NE FA $0 02/09/2004 01/10/2006  
The First National Bank of O'Donnell 12831 Doss, Roddy O'Donnell, TX Prohibition $0 05/12/2004      
The First National Bank of O'Donnell 12831 Doss, Roddy O'Donnell, TX CMP $3,000 05/12/2004 N/A N/A AA-EC-04-16  
The First National Bank of O'Donnell 12831 Henderson, William R. O'Donnell, TX CMP $1,500 03/25/2004 N/A N/A AA-EC-04-17  
The First National Bank of O'Donnell 12831 Hogg, Cheryl O'Donnell, TX CMP $3,000 05/12/2004 N/A N/A AA-EC-04-14  
The First National Bank of O'Donnell 12831 Hogg, Jon O'Donnell, TX Prohibition $0 06/24/2004     AA-EC-04-13  
The First National Bank of O'Donnell 12831 Hogg, Jon O'Donnell, TX CMP $15,000 06/24/2004 N/A N/A  
The First National Bank of O'Donnell 12831 Hogg, Matt O'Donnell, TX C&D $0 06/07/2004     AA-EC-04-15  
The First National Bank of O'Donnell 12831 Hogg, Matt O'Donnell, TX CMP $4,000 06/07/2004 N/A N/A  
The First National Bank of O'Donnell 12831 Hogg, Nelson D. O'Donnell, TX CMP $100,000 09/02/2004 N/A N/A AA-EC-04-12  
The First National Bank of O'Donnell 12831 Hughes, Mickey O'Donnell, TX CMP $1,500 03/25/2004 N/A N/A AA-EC-04-18  
The First National Bank of Paonia 6671   Paonia, CO C&D $0 11/18/2004 05/10/2007  
The First National Bank of Southern Kansas 5559   Mount Hope, KS FA $0 01/29/2004 08/02/2006  
The First National Bank of St. Marys 5226 Turner, Rick D. Saint Marys, WV CMP $1,000 11/05/2004 N/A N/A  
The First National Bank of Sumner 6907 Johnson, Joseph E. Olney, IL Prohibition $0 10/21/2004     AA-EC-04-07  
The First National Bank of Sumner 6907 Johnson, Joseph E. Olney, IL CMP $100,000 10/21/2004 N/A N/A  
The First National Bank of Sumner 6907 Meyer, A. Melinda Olney, IL CMP $2,500 07/29/2004 N/A N/A AA-EC-04-11  
The First National Bank of Sumner 6907 Puzey, Christina M. Olney, IL CMP $2,500 07/29/2004 N/A N/A AA-EC-04-10  
The First National Bank of Sumner 6907 Puzey, Lyle D. Olney, IL CMP $40,000 07/29/2004 N/A N/A AA-EC-04-09  
The First National Bank of Sumner 6907 Rigg, Ryan A. Olney, IL Prohibition $0 05/19/2004     AA-EC-04-08  
The First National Bank of Valentine 6378   Valentine, NE FA $0 08/19/2004 08/09/2007  
The First National Bank of Waverly 5635   Waverly, OH FA $0 11/09/2004 01/10/2006  
The Herring National Bank 7010   Vernon, TX FA $0 10/25/2004 05/01/2005    
The Lake Bank, National Association 24048   Two Harbors, MN C&D $0 03/15/2004 09/23/2005  
The Marion Center National Bank 7819   Marion Center, PA FA $0 09/20/2004 04/12/2005    
The National Bank of Daingerfield 4701   Daingerfield, TX FA $0 04/21/2004 02/16/2005  
The National Bank of Gainesville 24169   Gainesville, GA FA $0 08/18/2004 02/05/2008  
The National Bank of North East 9149   North East, PA FA $0 12/16/2004 10/07/2005    
The National State Bank of Metropolis 5254 Healey, Gregory P. Metropolis, IL C&D $0 10/19/2004      
The National State Bank of Metropolis 5254 Healey, Gregory P. Metropolis, IL CMP $2,500 10/19/2004 N/A N/A AA-EC-04-05  
The National State Bank of Metropolis 5254 Kenneally, Bernard P. Metropolis, IL C&D $0 04/02/2004      
The National State Bank of Metropolis 5254 Kenneally, Bernard P. Metropolis, IL CMP $2,500 04/02/2004 N/A N/A AA-EC-04-05  
The Ripley National Bank 2837   Ripley, OH C&D $0 04/20/2004 01/10/2005  
The Upstate National Bank 12018   Lisbon, NY C&D $0 11/04/2004 03/22/2006  
Town-Country National Bank 16708   Camden, AL FA $0 01/28/2004 04/26/2006  
U.S. Bank National Association 24 Brown, Jernika N. Cincinnati, OH Prohibition $0 02/20/2004      
U.S. Bank National Association 13405 Charoenlert, Nudchanart Minneapolis, MN Prohibition $0 05/06/2004      
U.S. Bank National Association 13405 Charoenlert, Nudchanart Minneapolis, MN CMP $5,000 05/06/2004 N/A N/A  
U.S. Bank National Association 13405 Eritsyan, Flora Minneapolis, MN C&D $0 12/20/2004     AA-EC-04-20  
U.S. Bank National Association 24 Garcia, Frank Cincinnati, OH Prohibition $0 07/22/2004     AA-EC-04-66  
Union Bank of California, National Association 21541 Arpajian, Meline San Francisco, CA C&D $0 10/29/2004     AA-EC-04-67  
Union Bank of California, National Association 21541 Cadena, Veronica E. San Francisco, CA Prohibition $0 09/13/2004      
Union Bank of California, National Association 21541 Hill, Charles Y. San Francisco, CA Prohibition $0 09/28/2004      
Union Bank of California, National Association 21541 Hill, Charles Y. San Francisco, CA REST $400 09/28/2004      
Union Bank of California, National Association 21541 Olaiz, Pamela I. San Francisco, CA Prohibition $0 08/24/2004     AA-EC-04-69  
Union Planters Bank, National Association 13349 Wiley, Lena M. Memphis, TN Prohibition $0 06/25/2004      
Wachovia Bank, National Association 1 Richburg, Yvonnya Leann Charlotte, NC C&D $0 03/22/2004      
Wachovia Bank, National Association 1 Thorn, Albert Charlotte, NC C&D $0 11/04/2004     AA-EC-04-92  
Wells Fargo & Company 500017 Hutchinson, Julie K. San Francisco, CA Prohibition $0 05/06/2004     AA-EC-04-22  
Wells Fargo Bank, National Association 1741 de Keyser, Ralph J. Sioux Falls, SD Prohibition $0 02/20/2004      
Wells Fargo Bank, National Association 1741 Poulsen, Dennis Shane Sioux Falls, SD Prohibition $0 11/15/2004     AA-EC-04-21  
Western National Bank 22906   Lenexa, KS FA $0 06/24/2004 11/17/2006  
Whitney National Bank 14977 Ranostaj, David A. New Orleans, LA Prohibition $0 12/23/2004      
Whitney National Bank 14977 Ranostaj, David A. New Orleans, LA CMP $130,000 12/23/2004 N/A N/A AA-EC-04-86  
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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.