Office of the Comptroller of the Currency

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American Bank 708149 Plack, James E. Rockville, MD Prohibition $0 12/17/2015     AA-EC-2014-90  
American Bank 708149 Plack, James E. Rockville, MD CMP $100,000 12/17/2015 N/A N/A  
Amory FS & LA 702674   Amory, MS CMP $16,700 04/03/2015 N/A N/A AA-SO-2015-22
    Anchor Bank, Saint Paul, National Association 21179 Crapser, Gene A. Saint Paul, MN Prohibition $0 09/04/2015     AA-EC-2015-28
      Anthem Bank & Trust 703874   Plaquemine, LA FA $0 08/05/2015 05/24/2017
        Banco Bradesco S.A. 80041   New York, NY C&D $0 01/26/2015 10/28/2015 AA-EC-2014-116
          Bank @lantec 717960 LoCash, Michael Virginia Beach, VA Prohibition $0 09/09/2015     AA-EC-2015-68
            Bank of America, National Association 13044   Charlotte, NC C&D $0 06/29/2015 07/12/2017 AA-EC-2015-18
              Bank of America, National Association 13044   Charlotte, NC CMP $1,104,530 06/29/2015 N/A N/A AA-EC-2015-19
                Bank of America, National Association 13044   Charlotte, NC C&D $0 05/29/2015 01/23/2018 AA-EC-2015-1
                  Bank of America, National Association 13044   Charlotte, NC CMP $30,000,000 05/29/2015 N/A N/A AA-EC-2015-2
                    Bank of America, National Association 13044 Murphy, Phillip D. Charlotte, NC Prohibition $0 01/20/2015     AA-EC-08-57
                      Bank of America, National Association 13044 Murphy, Phillip D. Charlotte, NC CMP $15,000 01/20/2015 N/A N/A AA-EC-08-57
                        Bank of America, National Association 13044 Parker, Lamond A. Charlotte, NC Notice $0 02/25/2015 09/07/2016 AA-EC-2014-94
                          Bank of China 80028   New York, NY FA $0 12/16/2015 04/24/2018 AA-EC-2015-85
                            Ben Franklin Bank of Illinois 715152   Arlington Heights, IL C&D $0 11/25/2015 02/05/2019 AA-CE-2015-69
                              BNB Hana Bank, National Association 20622   Fort Lee, NJ FA $0 01/23/2015 05/31/2022 AA-NE-2015-12
                                Cadence Bank, National Association 3656   Birmingham, AL C&D $0 02/09/2015 02/09/2016 AA-EC-2015-115
                                  Capital One Bank (USA), National Association 24828   Glen Allen, VA C&D $0 07/10/2015 11/04/2019 AA-EC-2019-74
                                    Capital One, National Association 13688   Mclean, VA C&D $0 07/10/2015 11/04/2019 AA-EC-2019-74
                                      Capitol National Bank 17525   Lansing, MI C&D $0 01/30/2015 08/02/2018 AA-EC-2014-87
                                        Chase Bank USA, National Association 23160   Wilmington, DE CMP $0 07/08/2015 N/A N/A AA-EC-2014-64
                                          Citibank, N.A. 1461   Sioux Falls, SD C&D $0 07/20/2015 11/20/2018 AA-EC-2015-52
                                            Citibank, N.A. 1461   Sioux Falls, SD CMP $35,000,000 07/20/2015 N/A N/A AA-EC-2015-53
                                              Citibank, N.A. 1461   Sioux Falls, SD REST See Order 07/20/2015     AA-EC-2015-52
                                                Citizens Bank, National Association 24571   Providence, RI C&D $0 11/10/2015 06/26/2018 AA-EC-2015-58
                                                  Citizens Bank, National Association 24571   Providence, RI CMP $2,000,000 11/10/2015 N/A N/A AA-EC-2015-58
                                                    Citizens Bank, National Association 24571   Providence, RI REST See Order 11/10/2015     AA-EC-2015-58
                                                      Commonwealth Bank, FSB 706591 Steger, Ryan MT. Sterling, KY CMP $5,000 08/03/2015 N/A N/A AA-CE-2015-55
                                                        Commonwealth National Bank 16553   Mobile, AL C&D $0 12/18/2015 01/31/2022 AA-EC-2015-42
                                                          Community Bank, National Association 8531 Bush, Elsa L. Canton, NY Prohibition $0 12/17/2015     AA-EC-2015-89
                                                            Department Stores National Bank 24622   Sioux Falls, SD C&D $0 07/20/2015 11/20/2018 AA-EC-2015-52
                                                              Department Stores National Bank 24622   Sioux Falls, SD CMP $0 07/20/2015 N/A N/A AA-EC-2015-53
                                                                Department Stores National Bank 24622   Sioux Falls, SD REST See Order 07/20/2015     AA-EC-2015-52
                                                                  Dieterich Bank, National Association 9582   Dieterich, IL FA $0 12/16/2015 06/22/2017 AA-CE-2015-96
                                                                    Everbank 715115   Jacksonville, FL C&D $0 06/16/2015 01/04/2016
                                                                      Fidelity Bank of Florida, National Association 24496 Guldi, James Merritt Island, FL Notice $0 12/01/2015 07/26/2016 AA-EC-15-62
                                                                        Fidelity Bank of Florida, National Association 24496 McEvoy, Patrick Merritt Island, FL C&D $0 03/09/2015     AA-EC-2014-84
                                                                          Fidelity Bank of Florida, National Association 24496 McEvoy, Patrick Merritt Island, FL CMP $2,500 03/09/2015 N/A N/A AA-EC-2014-84
                                                                            Fidelity Bank of Florida, National Association 24496 Storey, Michael M. Merritt Island, FL C&D $0 04/01/2015     AA-EC-2014-83
                                                                              Fidelity Bank of Florida, National Association 24496 Storey, Michael M. Merritt Island, FL CMP $5,000 04/01/2015 N/A N/A AA-EC-2014-83
                                                                                First Federal Community Bank, National Association 25025   Dover, OH CMP $1,800 11/24/2015 N/A N/A AA-CE-2015-74
                                                                                  First Financial Bank, National Association 56   Hamilton, OH CMP $11,700 10/02/2015 N/A N/A AA-CE-2015-73
                                                                                    First National Bank 22852 Dailey, Robert Wilson Savannah, GA Prohibition $0 10/01/2015     AA-EC-2014-15
                                                                                      First National Bank of Pennsylvania 249   Greenville, PA CMP $180,720 06/09/2015 N/A N/A
                                                                                        First National Community Bank 9868   Dunmore, PA CMP $500,000 02/27/2015 N/A N/A
                                                                                          First Place Bank 714752 Blank, Albert P. Warren, OH Prohibition $0 12/18/2015     AA-EC-2015-75
                                                                                            First Place Bank 714752 Blank, Albert P. Warren, OH CMP $45,000 12/18/2015 N/A N/A AA-EC-2015-75
                                                                                              First Place Bank 714752 Reay, Craig E. Warren, OH C&D $0 12/09/2015     AA-EC-2015-76
                                                                                                First Place Bank 714752 Reay, Craig E. Warren, OH CMP $6,000 12/09/2015 N/A N/A AA-EC-2015-76
                                                                                                  Gibraltar Private Bank & Trust Co. 708007 Harris, John W. Coral Gables, FL Prohibition $0 12/01/2015     AA-EC-2015-91
                                                                                                    Gibraltar Private Bank & Trust Co. 708007 Harris, John W. Coral Gables, FL CMP $75,000 12/01/2015 N/A N/A AA-EC-2015-91
                                                                                                      Grand Bank, National Association 24268   Hamilton, NJ C&D $0 11/23/2015 09/20/2017 AA-NE-2015-98
                                                                                                        High Desert Bank 718045 Snyder, Larry Bend, OR Prohibition $0 06/01/2015     AA-EC-2014-108
                                                                                                          High Desert Bank 718045 Snyder, Larry Bend, OR CMP $15,000 06/01/2015 N/A N/A AA-EC-2014-108
                                                                                                            Home FS&LA of Nebraska 705760   Lexington, NE FA $0 06/12/2015 01/01/2016  
                                                                                                              HSBC Bank USA, National Association 24522   Mclean, VA C&D $0 06/16/2015 01/06/2017 AA-EC-11-14
                                                                                                                Illinois-Service FS & LA 703395   Chicago, IL C&D $0 04/16/2015 09/18/2020 AA-EC-2015-14
                                                                                                                  Jarrettsville FS & LA 706351   Jarrettsville, MD FA $0 01/20/2015 09/29/2016 AA-NE-2015-15
                                                                                                                    JPMorgan Bank and Trust Company, National Association 24802   San Francisco, CA CMP $0 07/08/2015 N/A N/A AA-EC-2014-64
                                                                                                                      JPMorgan Chase Bank, National Association 8   Columbus, OH CMP $30,000,000 07/08/2015 N/A N/A AA-EC-2014-64
                                                                                                                        JPMorgan Chase Bank, National Association 8   Columbus, OH C&D $0 06/16/2015 01/04/2016 AA-EC-11-15
                                                                                                                          JPMorgan Chase Bank, National Association 8 Ojeda, Alejandro Columbus, OH Prohibition $0 08/26/2015     AA-EC-2015-46
                                                                                                                            Keybank National Association 14761   Cleveland, OH CMP $5,005 01/15/2015 N/A N/A AA-EC-2014-117
                                                                                                                              Lone Star National Bank 17611   Pharr, TX CMP $1,000,000 04/01/2015 N/A N/A AA-EC-2015-20
                                                                                                                                Lone Star National Bank 17611   Pharr, TX FA $0 03/31/2015 07/27/2017
                                                                                                                                  Lydian Private Bank 716406 Brown, Rory Palm Beach, FL CMP $5,000 10/06/2015 N/A N/A AA-EC-2015-29
                                                                                                                                    Lydian Private Bank 716406 Ellis, Jerome Palm Beach, FL C&D $0 05/05/2015     AA-EC-2015-30
                                                                                                                                      Mutual SA, Fsa 704492   Leavenworth, KS C&D $0 01/23/2015 12/14/2016 AA-EC-2015-5
                                                                                                                                        Nebraskaland National Bank 23645 Anderson, Rhonda L. North Platte, NE Prohibition $0 01/14/2015     AA-EC-2014-112
                                                                                                                                          One Bank & Trust, National Association 24136 Sweet, Matthew D. Little Rock, AR Prohibition $0 12/08/2015     AA-EC-2015-66
                                                                                                                                            Ozark Heritage Bank, National Association 14731 Barnes, James Mountain View, AR Prohibition $0 03/23/2015     AA-EC-14-97
                                                                                                                                              Ozark Heritage Bank, National Association 14731 Barnes, James Mountain View, AR CMP $20,000 03/23/2015 N/A N/A AA-EC-14-97
                                                                                                                                                Peoples National Bank 21041 Dye, Deborah Niceville, FL CMP $5,000 07/21/2015 N/A N/A AA-SO-2015-51
                                                                                                                                                  Peoples National Bank 21041 Floyd, Michael R. Niceville, FL CMP $2,500 07/21/2015 N/A N/A AA-SO-2015-51
                                                                                                                                                    Peoples National Bank 21041 Harrison, Cynthia Niceville, FL CMP $2,500 07/27/2015 N/A N/A AA-SO-2015-51
                                                                                                                                                      Peoples National Bank 21041 Powell, James W. Niceville, FL CMP $2,500 07/21/2015 N/A N/A AA-SO-2015-51
                                                                                                                                                        Peoples National Bank 21041 Powell, Thomas J. Niceville, FL CMP $2,500 07/15/2015 N/A N/A AA-SO-2015-51
                                                                                                                                                          PNC Bank, National Association 1316 Johnson, April K. Wilmington, DE Prohibition $0 07/29/2015     AA-EC-2015-56
                                                                                                                                                            Polonia Bank 703218   Huntingdon Valley, PA FA $0 11/10/2015 11/01/2017   AA-NE-2015-99
                                                                                                                                                              Rbs Citizens, National Association 24571   Providence, RI C&D $0 08/10/2015 08/18/2017 AA-EC-2014-109
                                                                                                                                                                Rbs Citizens, National Association 24571   Providence, RI CMP $10,000,000 08/10/2015 N/A N/A AA-EC-2014-109
                                                                                                                                                                  Rbs Citizens, National Association 24571   Providence, RI REST See Order 08/10/2015     AA-EC-2014-109
                                                                                                                                                                    Santander Bank, National Association 25022   Wilmington, DE C&D $0 06/16/2015 02/08/2016
                                                                                                                                                                      Santander Bank, National Association 25022   Wilmington, DE C&D $0 03/26/2015 08/24/2018 AA-EC-2015-03
                                                                                                                                                                        Santander Bank, National Association 25022   Wilmington, DE CMP $6,000,000 03/26/2015 N/A N/A AA-EC-2015-04
                                                                                                                                                                          Santander Bank, National Association 25022   Wilmington, DE REST See Order 03/26/2015     AA-EC-2015-03
                                                                                                                                                                            Sumner National Bank of Sheldon 14401   Sheldon, IL CMP $3,000 07/20/2015 N/A N/A AA-CE-2015-50
                                                                                                                                                                              TD Bank, National Association 24096 Burnham, Jeffrey Wilmington, DE Prohibition $0 05/18/2015     AA-EC-2014-106
                                                                                                                                                                                TD Bank, National Association 24096 Spinosa, Frank Wilmington, DE Prohibition $0 04/21/2015     AA-EC-15-27
                                                                                                                                                                                  The First National Bank of Beloit 3231   Beloit, KS FA $0 04/27/2015 05/24/2018
                                                                                                                                                                                    The First National Bank of Manchester 7605 McCowan, Jon Kristen Manchester, KY C&D $0 03/20/2015     AA-EC-14-26
                                                                                                                                                                                      The First National Bank of Manchester 7605 McCowan, Jon Kristen Manchester, KY CMP $5,000 03/20/2015 N/A N/A AA-EC-14-26
                                                                                                                                                                                        The First National Bank of Niagara 11051 Gunville, Robert Niagara, WI CMP $30,000 08/17/2015 N/A N/A AA-CE-2015-60
                                                                                                                                                                                          The National Capital Bank of Washington 4107   Washington, DC FA $0 08/25/2015 12/06/2017 AA-NE-2015-67
                                                                                                                                                                                            The Somerville National Bank 9859 Ulrich, Douglas Somerville, OH CMP $5,000 09/14/2015 N/A N/A AA-CE-2015-61
                                                                                                                                                                                              Trustco Bank 707635   Glenville, NY FA $0 07/21/2015 02/07/2018
                                                                                                                                                                                                Trustmark National Bank 10523 Dick, Joe L. Jackson, MS Prohibition $0 07/09/2015     AA-EC-2015-21
                                                                                                                                                                                                  Trustmark National Bank 10523 Dick, Joe L. Jackson, MS CMP $10,000 07/09/2015 N/A N/A AA-EC-2015-21
                                                                                                                                                                                                    U.S. Bank National Association 24   Cincinnati, OH C&D $0 10/23/2015 11/19/2018 AA-EC-2015-77
                                                                                                                                                                                                      U.S. Bank National Association 24   Cincinnati, OH C&D $0 06/16/2015 02/08/2016 AA-EC-11-18
                                                                                                                                                                                                        United Americas Bank, National Association 23781 Blanton, William R. Atlanta, GA Notice $0 06/30/2015 03/11/2019 AA-EC-2015-24
                                                                                                                                                                                                          United Americas Bank, National Association 23781 Forment, Jorge L. Atlanta, GA C&D $0 06/04/2015     AA-EC-2015-23
                                                                                                                                                                                                            United Americas Bank, National Association 23781 Forment, Jorge L. Atlanta, GA CMP $10,000 06/04/2015 N/A N/A AA-EC-2015-23
                                                                                                                                                                                                              United Americas Bank, National Association 23781 Sanchez, Norberto Atlanta, GA CMP $10,000 05/08/2015 N/A N/A AA-EC-2015-25
                                                                                                                                                                                                                Valley National Bank 15395 Vigil, Nick Espanola, NM C&D $0 10/29/2015    
                                                                                                                                                                                                                  Warsaw FS & LA 701158   Cincinnati, OH FA $0 04/01/2015 03/12/2020
                                                                                                                                                                                                                    Wells Fargo Bank, National Association 1   Sioux Falls, SD C&D $0 11/19/2015 01/04/2021 AA-EC-2015-79
                                                                                                                                                                                                                      Wells Fargo Bank, National Association 1   Sioux Falls, SD GLBA $0 09/15/2015 05/29/2025  
                                                                                                                                                                                                                      Wells Fargo Bank, National Association 1   Sioux Falls, SD GLBA $0 09/15/2015 05/29/2025  
                                                                                                                                                                                                                      Wells Fargo Bank, National Association 1   Sioux Falls, SD C&D $0 06/16/2015 05/24/2016 AA-EC-11-19
                                                                                                                                                                                                                        Wells Fargo Bank, National Association 1   Sioux Falls, SD C&D $0 06/03/2015 12/03/2021 AA-EC-2015-06
                                                                                                                                                                                                                          Wells Fargo Bank, National Association 1   Sioux Falls, SD CMP $4,000,000 06/03/2015 N/A N/A AA-EC-2015-13
                                                                                                                                                                                                                            Wells Fargo Bank, National Association 1   Sioux Falls, SD REST See Order 06/03/2015     AA-EC-2015-06
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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.