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AB & T National Bank 24515   Dothan, AL FA $0 07/27/2006 03/31/2009    
Alaska First Bank & Trust, National Association 21990   Anchorage, AK FA $0 02/02/2006 10/19/2007    
Albany Bank & Trust, National Association 23752   Albany, GA FA $0 07/27/2006 12/20/2010  
Amcore Bank, National Association 13652   Rockford, IL C&D $0 08/10/2006 04/14/2008  
Bangkok Bank Public Company Limited 80080   New York City, NY C&D $0 04/20/2006 02/21/2008  
Bank Calumet National Association 14379 Peterson, Michael Hammond, IN Prohibition $0 09/12/2006     AA-EC-06-58  
Bank of America, National Association 13044 Dange, Brandon Charlotte, NC Prohibition $0 06/01/2006     AA-EC-06-46  
Bank of America, National Association 13044 Dange, Brandon Charlotte, NC REST $11,900 06/01/2006     AA-EC-06-46  
Bank of America, National Association 13044 Frisbie, Michelle L. Charlotte, NC Prohibition $0 05/09/2006     AA-EC-06-18  
Bank of America, National Association 13044 Frisbie, Michelle L. Charlotte, NC REST $9,500 05/09/2006     AA-EC-06-18  
Bank of America, National Association 13044 Lipscomb, Tiffany D. (Holt) Charlotte, NC Prohibition $0 05/23/2006     AA-EC-06-14  
Bank of America, National Association 13044 Lipscomb, Tiffany D. (Holt) Charlotte, NC REST $10,000 05/23/2006     AA-EC-06-14  
Bank of America, National Association 13044 Misislyan, Arpine Charlotte, NC Prohibition $0 08/31/2006     AA-EC-06-79  
Bank of America, National Association 13044 Misislyan, Arpine Charlotte, NC REST $5,000 08/31/2006     AA-EC-06-79  
Bank One, National Association 7621 Siebu, Samuel Columbus, OH Prohibition $0 08/28/2006     AA-EC-06-74  
Bank One, National Association 7621 Siebu, Samuel Columbus, OH REST $23,606 08/28/2006     AA-EC-06-74  
BCPBank, National Association 23913   Newark, NJ FA $0 05/18/2006 07/09/2009  
Citibank, National Association 1461 Teufel, Catherine A. New York City, NY Prohibition $0 08/01/2006     AA-EC-06-65  
City First Bank of D.C., National Association 22968   Washington, DC FA $0 02/06/2006 10/23/2008  
Crown Bank, National Association 23071 Gomes, Jose Ocean City, NJ CMP $10,000 02/13/2006 N/A N/A AA-NE-06-13  
Crown Bank, National Association 23071 Rodrigues, Jacinto Ocean City, NJ CMP $20,000 12/04/2006 N/A N/A AA-NE-06-98  
Crown Bank, National Association 23071 Rodrigues, Joaquina Ocean City, NJ CMP $5,000 12/04/2006 N/A N/A AA-NE-06-100  
Crown Bank, National Association 23071 Verissimo, Augusto Ocean City, NJ CMP $2,000 12/04/2006 N/A N/A AA-NE-06-99  
Doha Bank 80063   New York, NY C&D $0 09/19/2006 09/30/2011    
Douglass National Bank 23180   Kansas City, MO FA $0 03/28/2006 01/25/2008    
Farmers National Bank 22928 Turner, Phillip E. Walton, KY CMP $20,000 10/18/2006 N/A N/A AA-EC-06-89  
First Fidelity Bank, National Association 17045   Oklahoma City, OK CMP $1,000 03/30/2006 N/A N/A  
First Liberty National Bank 18739   Washington, DC FA $0 04/04/2006 09/15/2006    
First National Bank 8205   Julesburg, CO FA $0 10/24/2006 11/05/2007  
First National Bank 14146   Fort Collins, CO FA $0 07/20/2006 09/25/2007  
First National Bank 14146   Fort Collins, CO CMP $12,000 06/19/2006 N/A N/A  
First National Bank 20078 Cadotte, James Wichita Falls, TX Prohibition $0 01/10/2006     AA-EC-05-60  
First National Bank 18339 Lemaster, Alan Sidney, NE Prohibition $0 09/01/2006     AA-EC-06-75  
First National Bank 21709 Moffat, David St. Marys, GA Prohibition $0 08/14/2006     AA-EC-06-70  
First National Bank and Trust 7890   London, KY CMP $1,700 08/28/2006 N/A N/A AA-EC-06-83  
First National Bank and Trust 7890   London, KY FA $0 07/24/2006 10/10/2007  
First National Bank and Trust 7890 Adams, Mark London, KY CMP $2,000 12/27/2006 N/A N/A AA-CE-06-105  
First National Bank and Trust 7890 Benge, Charlie London, KY CMP $2,000 12/27/2006 N/A N/A AA-CE-06-106  
First National Bank and Trust 7890 Brewer, Randell London, KY CMP $2,000 12/27/2006 N/A N/A AA-CE-06-107  
First National Bank and Trust 7890 Humfleet, George London, KY CMP $2,000 12/27/2006 N/A N/A AA-CE-06-108  
First National Bank and Trust 7890 James, Kenneth London, KY CMP $2,000 12/27/2006 N/A N/A AA-CE-06-109  
First National Bank and Trust 7890 Luker, Charles London, KY CMP $2,000 12/27/2006 N/A N/A AA-CE-06-110  
First National Bank and Trust 7890 Madon, John A. London, KY CMP $7,000 12/26/2006 N/A N/A AA-CE-06-111  
First National Bank and Trust 7890 McCowan, Denver London, KY CMP $2,000 12/27/2006 N/A N/A AA-CE-06-112  
First National Bank in Homer 11882 Fish, James Homer, IL CMP $12,000 11/08/2006 N/A N/A AA-EC-06-95  
First National Bank in Pawhuska 8313   Pawhuska, OK FA $0 06/16/2006 10/22/2009  
First National Bank of Arizona 24189 Busch, Frank W. Scottsdale, AZ CMP $5,000 06/21/2006 N/A N/A AA-WE-06-60  
First National Bank of Arizona 24189 Lamb, R. Patrick Scottsdale, AZ CMP $2,500 06/21/2006 N/A N/A AA-WE-06-59  
First National Bank of Catlin 7276   Catlin, IL CMP $0 10/26/2006 N/A N/A  
First National Bank of Colorado City 17486   Colorado City, TX FA $0 11/28/2006 07/15/2009  
First National Bank of Nevada 18667 Busch, Frank W. Reno, NV CMP $5,000 06/21/2006 N/A N/A AA-WE-06-60  
First National Bank of Nevada 18667 Lamb, R. Patrick Reno, NV CMP $2,500 06/21/2006 N/A N/A AA-WE-06-59  
First National Bank of Omaha 209 Cornerstone Mortgage Company   Omaha, NE CMP $25,000 08/07/2006 N/A N/A  
First National Bank of Shelby County 14590 Ash, Paul L. Columbiana, AL C&D $0 09/21/2006     AA-EC-06-32  
First National Bank of Shelby County 14590 Conwill, Hewitt L. Columbiana, AL CMP $7,500 10/25/2006 N/A N/A AA-EC-06-35  
First National Bank of Shelby County 14590 Davis, Judy R. Columbiana, AL Prohibition $0 06/05/2006     AA-EC-06-29  
First National Bank of Shelby County 14590 Davis, Judy R. Columbiana, AL CMP $5,000 06/05/2006 N/A N/A AA-EC-06-29  
First National Bank of Shelby County 14590 Ferguson, Martha B. Columbiana, AL CMP $7,500 05/31/2006 N/A N/A AA-EC-06-33  
First National Bank of Shelby County 14590 Hayes, Robert A. Columbiana, AL CMP $7,500 05/31/2006 N/A N/A AA-EC-06-36  
First National Bank of Shelby County 14590 McFarlane, A. Duncan Columbiana, AL CMP $10,000 06/29/2006 N/A N/A AA-EC-06-37  
First National Bank of Shelby County 14590 Oliver, Jerry E. Columbiana, AL C&D $0 10/25/2006      
First National Bank of Shelby County 14590 Oliver, Jerry E. Columbiana, AL CMP $20,000 10/25/2006 N/A N/A AA-EC-06-31  
First National Bank of Shelby County 14590 Rasco, Russell J. Columbiana, AL Prohibition $0 05/31/2006     AA-EC-06-30  
First National Bank of Shelby County 14590 Rasco, Russell J. Columbiana, AL CMP $5,000 05/31/2006 N/A N/A AA-EC-06-30  
First National Bank of Shelby County 14590 Tidmore, Joe L. Columbiana, AL CMP $7,500 05/23/2006 N/A N/A AA-EC-06-34  
First National Bank of South Padre Island 18063 Strong, Ronald E. South Padre Island, TX C&D $0 05/12/2006     AA-EC-06-24  
First National Bank of The Mid-Cities 17620   Bedford, TX FA $0 08/16/2006 02/27/2008  
First National Bank of Tullahoma 3107 Thoma, Eldon B. "Brac" Tullahoma, TN Prohibition $0 06/05/2006     AA-EC-05-25  
First National Bank of Tullahoma 3107 Thoma, Eldon B. "Brac" Tullahoma, TN CMP $100,000 06/05/2006 N/A N/A AA-EC-05-25  
First North American National Bank 22196 Moseri, Onyeacholem Kennesaw, GA CMP $25,000 03/30/2006 N/A N/A  
First North American National Bank 22196 Moseri, Onyeacholem Kennesaw, GA Prohibition $0 03/23/2006      
First Union National Bank 1 Owens, Konya M. Charlotte, NC Prohibition $0 04/26/2006     AA-EC-05-98  
First Union National Bank 1 Owens, Konya M. Charlotte, NC REST $1,000 04/26/2006     AA-EC-05-98  
First United Bank, National Association 24575   Englewood, CO C&D $0 10/05/2006 06/18/2007   AA-WE-06-82  
First United Bank, National Association 24575 Parks, Arnold A. Englewood, CO CMP $1,000 12/14/2006 N/A N/A AA-WE-06-113  
First United Bank, National Association 24575 Sullivan, Kenneth T. Englewood, CO CMP $3,500 12/20/2006 N/A N/A  
Firstmerit Bank, National Association 14579   Akron, OH C&D $0 11/20/2006 02/01/2008  
Fort Knox National Bank 14894   Radcliff, KY CMP $700 04/10/2006 N/A N/A  
Hamilton Bank, National Association 17675 Grossman, Robert L. Miami, FL CMP $175,000 11/07/2006 N/A N/A AA-EC-06-103  
Hamilton Bank, National Association 17675 Grossman, Robert L. Miami, FL FA $0 11/07/2006 11/07/2011   AA-EC-06-103  
Hamilton Bank, National Association 17675 Greenberg Traurig LLP   Miami, FL CMP $750,000 10/31/2006 N/A N/A AA-EC-06-96  
Hamilton Bank, National Association 17675 Greenberg Traurig LLP   Miami, FL FA $0 10/31/2006 10/31/2011   AA-EC-06-96  
Hamilton Bank, National Association 17675 GreenbergTaurig LLP Loumiet, Carlos Miami, FL Notice $0 11/06/2006 07/27/2009 OCC-AA-EC-06-102  
Harleysville National Bank and Trust Company 9541 Hunsberger, Vernon L. Harleysville, PA Prohibition $0 08/31/2006     AA-EC-06-80  
Harleysville National Bank and Trust Company 9541 Hunsberger, Vernon L. Harleysville, PA CMP $25,000 08/31/2006 N/A N/A AA-EC-06-80  
Henderson National Bank 23955 Jackson, Peggy S. Henderson, KY Prohibition $0 09/15/2006     AA-EC-06-68  
Hibernia National Bank 13688 Howard, Katherine S. New Orleans, LA Prohibition $0 06/08/2006     AA-EC-06-23  
Home National Bank 9815 Norris, Gary P. Racine, OH Prohibition $0 04/13/2006      
Home National Bank 9815 Norris, Gary P. Racine, OH CMP $100,000 04/13/2006 N/A N/A  
Integra Bank National Association 12132 Tooley, Timothy A. Evansville, IN Prohibition $0 11/06/2006     AA-EC-06-19  
JPMorgan Chase Bank, National Association 8 Green, Andrea Lynn Columbus, OH Prohibition $0 11/08/2006     AA-EC-06-76  
JPMorgan Chase Bank, National Association 8 Green, Andrea Lynn Columbus, OH REST $4,280 11/08/2006     AA-EC-06-76  
Legacy Bank, National Association 24363   Campbell, CA FA $0 12/22/2006 03/19/2007  
Maryland Bank and Trust Company, National Association 23430   Lexington Park, MD FA $0 02/10/2006 04/01/2011    
MBNA America Bank, National Association 22381 Joyce, Jody Wilmington, DE Prohibition $0 07/28/2006     AA-EC-06-40  
Metropolitan Bank and Trust Company 80066   New York, NY CMP $150,000 03/24/2006 N/A N/A  
MidWest Bank, National Association 23797   Pierce, NE CMP $0 10/13/2006 N/A N/A  
National Bank of Commerce 18356 Fullerton, Timothy Berkeley, IL Prohibition $0 08/01/2006     AA-EC-06-16  
National Bank of Commerce 18356 Fullerton, Timothy Berkeley, IL CMP $20,000 08/01/2006 N/A N/A AA-EC-06-16  
National Bank of Commerce 18356 Fullerton, Timothy Berkeley, IL REST $10,678 08/01/2006     AA-EC-06-16  
National Bank of Commerce 18356 Osborne, Susan E. Berkeley, IL Prohibition $0 07/27/2006     AA-EC-06-15  
National Bank of Commerce 18356 Osborne, Susan E. Berkeley, IL CMP $5,000 07/27/2006 N/A N/A AA-EC-06-15  
National Bank of Commerce 18356 Osborne, Susan E. Berkeley, IL REST $52,941 07/27/2006     AA-EC-06-15  
National Bank of Geneva 12450 DeRaddo, Steve V. Geneva, NY CMP $2,500 01/06/2006 N/A N/A AA-NE-05-28  
National Bank of Geneva 12450 Kime, Thomas Geneva, NY CMP $2,500 01/06/2006 N/A N/A AA-NE-05-27  
National City Bank of Indiana 869 First Franklin Financial Corporation (a subsidiary) Walker, Stephen Robert Indianapolis, IN Prohibition $0 09/25/2006     AA-EC-06-56  
National City Bank of Indiana 869 First Franklin Financial Corporation (a subsidiary) Walker, Stephen Robert Indianapolis, IN CMP $3,000 09/25/2006 N/A N/A AA-EC-06-56  
National Penn Bank 2137 Mawhinney, Edward Boyertown, PA Prohibition $0 08/16/2006     AA-EC-06-62  
NBT Bank, National Association 1354 Mattingly, Lance D. Norwich, NY Prohibition $0 06/08/2006     AA-EC-06-45  
New York National Bank 17197 Velez, Andrew Bronx, NY CMP $15,000 02/14/2006 N/A N/A AA-NE-06-03  
Old Missouri National Bank 23881   Springfield, MO FA $0 04/28/2006 10/27/2008  
Pacific Western National Bank 17423 Otoya, Patricia A. Santa Monica, CA Prohibition $0 05/18/2006     AA-EC-06-39  
Pinebank, National Association 23181   Miami, FL C&D $0 01/25/2006 09/28/2006  
Regent Bank & Trust Company, National Association 5401   Nowata, OK FA $0 09/20/2006 05/19/2008    
Seacoast National Bank 14838   Stuart, FL CMP $16,500 07/25/2006 N/A N/A AA-SO-06-73  
Temecula Valley Bank, National Association 23109 Martins, Brenda K. Temecula, CA Prohibition $0 04/26/2006     AA-EC-06-21  
Terrabank National Association 20157   Miami, FL C&D $0 05/09/2006 10/19/2010 AA-EC-05-96  
Terrabank National Association 20157 Mendieta, Uriel Miami, FL Prohibition $0 05/25/2006     AA-EC-06-04  
Terrabank National Association 20157 Mendieta, Uriel Miami, FL C&D $0 05/25/2006     AA-EC-06-04  
Terrabank National Association 20157 Mendieta, Uriel Miami, FL CMP $100,000 05/25/2006 N/A N/A AA-EC-06-04  
Terrabank National Association 20157 Mendieta, Uriel Miami, FL REST $2,906,000 05/25/2006     AA-EC-06-04  
The Blanco National Bank 8134   Blanco, TX FA $0 09/18/2006 08/04/2008  
The Farmers National Bank of Danville 2409   Danville, KY CMP $1,000 01/18/2006 N/A N/A AA-EC-05-100  
The Farmers National Bank of Kittanning 3104 Brougher, Kenneth Kittanning, PA Prohibition $0 07/24/2006     AA-NE-06-69  
The Farmers National Bank of Kittanning 3104 Brougher, Kenneth Kittanning, PA CMP $10,000 07/24/2006 N/A N/A AA-NE-06-69  
The First National Bank - Fox Valley 3724   Neenah, WI FA $0 12/14/2006 12/02/2008  
The First National Bank - Fox Valley 3724   Neenah, WI FA $0 12/14/2006 06/30/2008  
The First National Bank of Ainsworth 8992 Schaefer, Jerry Ainsworth, NE CMP $3,000 07/24/2006 N/A N/A AA-WE-06-43  
The First National Bank of Ainsworth 8992 Weichman, Denton Ainsworth, NE CMP $5,000 09/12/2006 N/A N/A AA-WE-06-42  
The First National Bank of Bellevue 2302   Bellevue, OH FA $0 10/26/2006 04/29/2008  
The First National Bank of Blanchardville 11114 Hardyman, Mark Blanchardville, WI Prohibition $0 01/26/2006     AA-EC-05-93  
The First National Bank of Brewster 10946   Brewster, MN CMP $20,000 07/06/2006 N/A N/A  
The First National Bank of Brewster 10946   Brewster, MN C&D $0 02/28/2006 06/21/2007 AA-EC-06-11  
The First National Bank of Brewster 10946 Fornoff, Bradford S. Brewster, MN C&D $0 11/06/2006     AA-EC-06-92  
The First National Bank of Brewster 10946 Fornoff, Bradford S. Brewster, MN CMP $5,000 11/06/2006 N/A N/A AA-EC-06-92  
The First National Bank of Brewster 10946 Kness, Bruce N. Brewster, MN CMP $1,500 11/22/2006 N/A N/A AA-EC-06-93  
The First National Bank of Brewster 10946 Moser, Charles C. Brewster, MN C&D $0 11/06/2006     AA-EC-06-91  
The First National Bank of Brewster 10946 Moser, Charles C. Brewster, MN CMP $50,000 11/06/2006 N/A N/A AA-EC-06-91  
The First National Bank of Brewster 10946 Walker, Dennis A. Brewster, MN CMP $1,500 11/27/2006 N/A N/A AA-EC-06-94  
The First National Bank of Dana 5997 Mobley, Micah J. Dana, IN Prohibition $0 06/15/2006     AA-EC-06-38  
The First National Bank of Fremont 10718 Arndt, Harold Fremont, IN Prohibition $0 12/12/2006     AA-EC-06-47  
The First National Bank of Fremont 10718 Arndt, Harold Fremont, IN CMP $3,000 12/12/2006 N/A N/A AA-EC-06-47  
The First National Bank of Fremont 10718 Mounts, Anne Fremont, IN C&D $0 11/02/2006     AA-EC-06-51  
The First National Bank of Fremont 10718 Mounts, Anne Fremont, IN CMP $1,000 11/02/2006 N/A N/A AA-EC-06-51  
The First National Bank of Fremont 10718 Patterson, Neal Fremont, IN Prohibition $0 11/02/2006     AA-EC-06-52  
The First National Bank of Fremont 10718 Patterson, Neal Fremont, IN CMP $7,500 11/02/2006 N/A N/A AA-EC-06-52  
The First National Bank of Hope 12533 Hays, John J. Hope, AR CMP $10,000 08/22/2006 N/A N/A  
The First National Bank of Hope 12533 Hays, Thomas E. Hope, AR CMP $5,000 08/03/2006 N/A N/A  
The First National Bank of Ipswich 4774   Ipswich, MA FA $0 06/28/2006 10/26/2011  
The First National Bank of Jeffersonville 10456   Jeffersonville, NY FA $0 11/28/2006 12/09/2008  
The First National Bank of Keystone 10369 Grant Thornton LLP   Keystone, WV C&D $0 12/07/2006 09/30/2008   AA-EC-04-02  
The First National Bank of Keystone 10369 Grant Thornton LLP   Keystone, WV CMP $300,000 12/07/2006 09/30/2008 N/A AA-EC-04-02  
The First National Bank of Lindsay 6171   Lindsay, OK FA $0 07/25/2006 07/19/2007  
The First National Bank of New Holland 7187   New Holland, OH C&D $0 09/26/2006 03/31/2008    
The First National Bank of Three Rivers 600   Three Rivers, MI FA $0 08/22/2006 12/31/2007    
The First National Bank of Utica 8811 Olson, Donald D. Utica, NE Prohibition $0 11/02/2006     AA-EC-2006-17  
The First National Bank of Utica 8811 Olson, Donald D. Utica, NE C&D $0 11/02/2006     AA-EC-2006-17  
The First National Bank of Utica 8811 Olson, Donald D. Utica, NE CMP $10,000 11/02/2006 N/A N/A AA-EC-2006-17  
The Lake Bank, National Association 24048 Kell, Thomas P. Two Harbors, MN Prohibition $0 04/04/2006      
The Lake Bank, National Association 24048 Kell, Thomas P. Two Harbors, MN CMP $50,000 04/04/2006 N/A N/A  
The Laredo National Bank 5001   Laredo, TX FA $0 08/16/2006 07/19/2007  
The Laredo National Bank 5001 Homeowners Loan Corp.   Laredo, TX FA $0 08/16/2006 07/19/2007  
The National Bank of Vernon 1264   Vernon, NY FA $0 01/30/2006 04/02/2007    
The Park National Bank 9179 Wright, Julie K. Newark, OH C&D $0 01/26/2006     AA-EC-06-02  
The Putnam County National Bank of Carmel 976   Carmel, NY FA $0 07/12/2006 12/05/2007  
The Ripley National Bank 2837 Gast, Katherine Ripley, OH Prohibition $0 04/26/2006      
The Ripley National Bank 2837 Gast, Katherine Ripley, OH CMP $7,500 04/26/2006 N/A N/A  
The Ripley National Bank 2837 Wolff, Myron Ripley, OH Prohibition $0 04/13/2006     AA-EC-06-05  
The Ripley National Bank 2837 Wolff, Myron Ripley, OH CMP $100,000 04/13/2006 N/A N/A AA-EC-06-05  
The Summit National Bank 21484   Atlanta, GA C&D $0 01/19/2006 01/16/2007  
U.S. Bank National Association 24   Cincinnati, OH CMP $125,000 10/18/2006 N/A N/A AA-EC-06-84  
U.S. Bank National Association 24 Frisbie, Michelle L. Cincinnati, OH Prohibition $0 05/09/2006     AA-EC-06-18  
U.S. Bank National Association 24 Frisbie, Michelle L. Cincinnati, OH REST $3,489 05/09/2006     AA-EC-06-18  
U.S. Bank National Association 24 Ramos, Estela Cincinnati, OH Prohibition $0 08/28/2006     AA-EC-06-08  
Vartan National Bank 11512   Harrisburg, PA FA $0 07/12/2006 11/05/2009  
Wachovia Bank, National Association 1 Disla, Marvin Charlotte, NC Prohibition $0 02/15/2006     AA-EC-06-01  
Wachovia Bank, National Association 1 Disla, Marvin Charlotte, NC REST $1,500 02/15/2006     AA-EC-06-01  
Wachovia Bank, National Association 1 Lipscomb, Tiffany D. (Holt) Charlotte, NC Prohibition $0 05/23/2006     AA-EC-06-14  
Wachovia Bank, National Association 1 Lipscomb, Tiffany D. (Holt) Charlotte, NC REST $10,000 05/23/2006     AA-EC-06-14  
Wachovia Bank, National Association 1 O'Brien, Patrick M. Charlotte, NC C&D $0 02/27/2006     AA-EC-2006-07  
Washington State Bank, National Association 23709   Federal Way, WA FA $0 01/03/2006 09/07/2006  
Wells Fargo Bank, National Association 1741 Haratunian, Annette Sioux Falls, SD Prohibition $0 09/25/2006     AA-EC-06-78  
Wells Fargo Bank, National Association 1741 Trejo, Joaquin San Francisco, CA Prohibition $0 07/10/2006     AA-EC-06-65  
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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.