Office of the Comptroller of the Currency

Enforcement Actions Search

Search within Bank Name
Advanced
  • Card View Screen readers work best with Card View. Press enter to view results in a card format.
  • Table View Press enter to view results in a table format.
Party Subject to Action
City, State
Hide Column Sort by City, State link. Press enter to sort.
Action
Start
Termination
Docket Number
Hide Column
Subject Matters
Hide Column
Institution
(Bank Name)
Hide Column Sort by Institution link. Press enter to sort.
Charter Number
Hide Column Sort by Charter Number link. Press enter to sort.
Company
Hide Column Sort by Company link. Press enter to sort.
Individual
Hide Column Sort by Individual link. Press enter to sort.
Type
Hide Column Sort by Type link. Press enter to sort.
Amount
Hide Column Sort by Amount link. Press enter to sort.
Date
Hide Column Sort by Start Date link. Press enter to sort.
Doc
Hide Column
Date
Hide Column Sort by Termination Date link. Press enter to sort.
Doc
Hide Column
Bank of China 80028   New York, NY C&D $0 04/24/2018 06/21/2022 AA-EC-2018-18
    Bank of China 80028   New York, NY CMP $12,500,000 04/24/2018 N/A N/A AA-EC-2018-19
      Barrington Bank & Trust Company, National Association 23216 Folkers, Stacy Barrington, IL C&D $0 05/22/2018     AA-EC-2018-17
        Barrington Bank & Trust Company, National Association 23216 Folkers, Stacy Barrington, IL CMP $7,500 05/22/2018 N/A N/A AA-EC-2018-17
          Beacon Business Bank, National Association 18358   San Francisco, CA FA $0 12/31/2018 02/12/2024 AA-WE-2018-67
            BOKF, National Association 13679 Campbell, Mary Patricia Tulsa, OK C&D $0 06/20/2018     AA-EC-2018-23
              BOKF, National Association 13679 Campbell, Mary Patricia Tulsa, OK CMP $2,500 06/20/2018 N/A N/A AA-EC-2018-23
                BOKF, National Association 13679 Pulley, Terri Lynn Tulsa, OK C&D $0 06/20/2018     AA-EC-2018-24
                  BOKF, National Association 13679 Pulley, Terri Lynn Tulsa, OK CMP $2,500 06/20/2018 N/A N/A AA-EC-2018-24
                    BOKF, National Association 13679 Wilkinson, Cyndi Sue Tulsa, OK Prohibition $0 06/20/2018     AA-EC-2018-22
                      BOKF, National Association 13679 Wilkinson, Cyndi Sue Tulsa, OK CMP $25,000 06/20/2018 N/A N/A AA-EC-2018-22
                        Capital One Bank (USA), National Association 24828   Glen Allen, VA CMP $0 10/23/2018 N/A N/A AA-EC-2018-62
                          Capital One, National Association 13688   Mclean, VA CMP $100,000,000 10/23/2018 N/A N/A AA-EC-2018-62
                            Capital One, National Association 13688 Contreras, Karen Mclean, VA Prohibition $0 11/05/2018     AA-EC-2018-55
                              Capital One, National Association 13688 Sanchez, Yeselin Mclean, VA Prohibition $0 06/27/2018     AA-EC-2018-28
                                Central National Bank & Trust Company of Enid 12044 Means, Joshua Enid, OK C&D $0 01/08/2018     AA-EC-2017-43
                                  Central National Bank & Trust Company of Enid 12044 Means, Joshua Enid, OK CMP $5,000 01/08/2018 N/A N/A AA-EC-2017-43
                                    City National Bank of New Jersey 16142   Newark, NJ PCAD $0 11/01/2018 06/26/2019 AA-EC-2019-39
                                      City National Bank of New Jersey 16142   Newark, NJ C&D $0 02/12/2018 11/01/2019   AA-EC-2018-87
                                        Eastern National Bank 15748   Miami, FL C&D $0 10/25/2018 11/19/2020 AA-SO-2018-59
                                          First Citizens Bank of Polson, National Association 24670 Doepke, David Polson, MT CMP $2,000 12/13/2018 N/A N/A AA-EC-2018-74
                                            First Citizens Bank of Polson, National Association 24670 Francis, Catherine Polson, MT CMP $2,000 12/13/2018 N/A N/A AA-EC-2018-75
                                              First Citizens Bank of Polson, National Association 24670 Ingram, Jolanda Polson, MT CMP $2,000 12/13/2018 N/A N/A AA-EC-2018-76
                                                First Citizens Bank of Polson, National Association 24670 Pedersen, Richard Polson, MT CMP $2,000 12/13/2018 N/A N/A AA-EC-2018-77
                                                  First Citizens Bank of Polson, National Association 24670 Skates, Rick Polson, MT CMP $10,000 12/13/2018 N/A N/A AA-EC-2018-72
                                                    First Citizens Bank of Polson, National Association 24670 Sloan, Robert Polson, MT CMP $2,000 12/13/2018 N/A N/A AA-EC-2018-073
                                                      First National Bank & Trust Co. of Williston 14275 Axtman, Shirley Williston, ND Prohibition $0 12/20/2018     AA-CE-2018-94
                                                        First National Bank of Omaha 209 Doss, Arin M. Omaha, NE Prohibition $0 01/09/2018     AA-EC-2018-83
                                                          Firstar Bank, National Association 15429 Ferguson, Jeffrey Scott Sallisaw, OK Prohibition $0 01/03/2018     AA-EC-2017-58
                                                            Fulton Bank, National Association 24891 Schneck, Lindsay Elizabeth Lancaster, PA Prohibition $0 09/28/2018     AA-EC-2018-50
                                                              Gibraltar Private Bank & Trust Co. 708007 LeGaux, Elden Coral Gables, FL CMP $15,000 06/21/2018 N/A N/A AA-EC-2018-27
                                                                Gibraltar Private Bank & Trust Co. 708007 VanDresser, William Coral Gables, FL CMP $35,000 06/21/2018 N/A N/A AA-EC-2018-26
                                                                  High Desert Bank 718045 Hamilton, Alexander Bend, OR C&D $0 06/15/2018     AA-EC-2018-14
                                                                    High Desert Bank 718045 Schaub, Russell Bend, OR C&D $0 06/15/2018     AA-EC-2018-13
                                                                      Hometown Bank of The Hudson Valley 701472 Jacobowitz, Gerald N. Walden, NY CMP $5,000 04/25/2018 N/A N/A AA-EC-2018-7
                                                                        JPMorgan Chase Bank, National Association 8 Eggert, Derek B. Columbus, OH Prohibition $0 03/22/2018     AA-EC-2018-85
                                                                          JPMorgan Chase Bank, National Association 8 Greer, Anisha Columbus, OH Prohibition $0 11/20/2018     AA-EC-2018-60
                                                                            JPMorgan Chase Bank, National Association 8 Orona, Kevin Jay Columbus, OH Prohibition $0 10/11/2018     AA-EC-2018-61
                                                                              JPMorgan Chase Bank, National Association 8 Scheel, Kristina L. Columbus, OH Prohibition $0 10/09/2018     AA-EC-2018-56
                                                                                Merchants Bank of California, National Association 21371 Cavano, Susan Carson, CA C&D $0 03/07/2018     AA-EC-2017-77
                                                                                  Merchants Bank of California, National Association 21371 Cavano, Susan Carson, CA CMP $5,000 03/07/2018 N/A N/A AA-EC-2017-77
                                                                                    Merchants Bank of California, National Association 21371 Chu, Jane Carson, CA C&D $0 03/05/2018     AA-EC-2017-76
                                                                                      Merchants Bank of California, National Association 21371 Chu, Jane Carson, CA CMP $35,000 03/05/2018 N/A N/A AA-EC-2017-76
                                                                                        Merchants Bank of California, National Association 21371 Garza, Rodrigo Carson, CA Prohibition $0 04/16/2018     AA-EC-2017-75
                                                                                          Merchants Bank of California, National Association 21371 Garza, Rodrigo Carson, CA CMP $70,000 04/16/2018 N/A N/A AA-EC-2017-75
                                                                                            Merchants Bank of California, National Association 21371 Hall, Janice Carson, CA CMP $5,000 04/26/2018 N/A N/A AA-EC-2017-79
                                                                                              Merchants Bank of California, National Association 21371 Roberts, Daniel Carson, CA Prohibition $0 04/10/2018     AA-EC-17-74
                                                                                                Merchants Bank of California, National Association 21371 Roberts, Daniel Carson, CA CMP $175,000 04/10/2018 N/A N/A AA-EC-17-74
                                                                                                  Merchants Bank of California, National Association 21371 Roberts, Theodore Carson, CA CMP $20,000 02/06/2018 N/A N/A AA-EC-2017-78
                                                                                                    Merchants Bank of California, National Association 21371 Scott, Philip Carson, CA CMP $20,000 03/05/2018 N/A N/A AA-EC-2017-80
                                                                                                      Midsouth Bank, National Association 18484   Lafayette, LA C&D $0 10/25/2018 09/21/2019   AA-SO-2018-62
                                                                                                        Minnesota National Bank 6417 Guler, Eric T. Sauk Centre, MN Prohibition $0 08/20/2018     AA-EC-2018-2
                                                                                                          Minnesota National Bank 6417 Guler, Eric T. Sauk Centre, MN CMP $1,000 08/20/2018 N/A N/A AA-EC-2018-2
                                                                                                            Nebraskaland National Bank 23645 Schwartz, Justin D. North Platte, NE Prohibition $0 05/22/2018     AA-EC-2018-29
                                                                                                              Nebraskaland National Bank 23645 Schwartz, Justin D. North Platte, NE CMP $10,000 05/22/2018 N/A N/A AA-EC-2018-29
                                                                                                                Newfirst National Bank 6112 Vincek, James A. El Campo, TX Prohibition $0 11/26/2018     AA-EC-2018-67
                                                                                                                  Patriot Bank, National Association 22545   Stamford, CT FA $0 11/07/2018 09/01/2021 AA-NE-2018-70
                                                                                                                    PNC Bank, National Association 1316   Wilmington, DE CMP $15,000,000 05/01/2018 N/A N/A AA-EC-2018-88
                                                                                                                      PNC Bank, National Association 1316   Wilmington, DE CMP $207,245 05/01/2018 N/A N/A AA-EC-2018-11
                                                                                                                        PNC Bank, National Association 1316 Holmes, Tyra L. Wilmington, DE Prohibition $0 05/25/2018     AA-EC-2018-25
                                                                                                                          PNC Bank, National Association 1316 McComb, Meghan N. Wilmington, DE Prohibition $0 05/25/2018     AA-EC-2017-63
                                                                                                                            PNC Bank, National Association 1316 Moye, Sherayle Wilmington, DE Prohibition $0 10/09/2018     AA-EC-2018-57
                                                                                                                              Quontic Bank 717974   Astoria, NY FA $0 10/29/2018 10/05/2022
                                                                                                                                Rabobank, National Association 24583   Roseville, CA CMP $50,000,000 02/06/2018 N/A N/A AA-WE-2017-82
                                                                                                                                  Rabobank, National Association 24583 Akahoshi, Laura Roseville, CA Notice $0 04/16/2018 04/05/2023 AA-EC-2018-20
                                                                                                                                    Resolute Bank 718042   Maumee, OH C&D $0 09/05/2018 10/25/2019   AA-EC-2018-51
                                                                                                                                      Royal Bank of Canada, Miami Branch 80119 Magalhaes, Dirceu P. Miami, FL Prohibition $0 09/12/2018     AA-EC-2018-54
                                                                                                                                        Royal Bank of Canada, Miami Branch 80119 Magalhaes, Dirceu P. Miami, FL CMP $100,000 09/12/2018 N/A N/A AA-EC-2018-54
                                                                                                                                          Santander Bank, National Association 25022 Granado, Christine Wilmington, DE Prohibition $0 04/03/2018     AA-EC-2018-12
                                                                                                                                            Santander Bank, National Association 25022 Jones, Michael W. Wilmington, DE Prohibition $0 07/09/2018     AA-EC-2018-32
                                                                                                                                              Santander Bank, National Association 25022 Trujillo, Michael Wilmington, DE Prohibition $0 05/01/2018     AA-EC-2018-3
                                                                                                                                                Security National Bank of Omaha 15379 McCormick, Keith Omaha, NE Prohibition $0 05/30/2018    
                                                                                                                                                  Security National Bank of Omaha 15379 Pabian, Hunter J. Omaha, NE Prohibition $0 12/11/2018     AA-EC-2018-92
                                                                                                                                                    TCF National Bank 23253   Sioux Falls, SD C&D $0 07/20/2018 12/18/2019 AA-EC-2018-38
                                                                                                                                                      TCF National Bank 23253   Sioux Falls, SD CMP $3,000,000 07/20/2018 N/A N/A AA-EC-2018-39
                                                                                                                                                        TCF National Bank 23253   Sioux Falls, SD REST $25,000,000 07/20/2018     AA-EC-2018-38
                                                                                                                                                          The First National Bank of Sedan 3855   Sedan, KS FA $0 04/17/2018 02/15/2024
                                                                                                                                                            The Morris County National Bank of Naples 7194   Naples, TX FA $0 10/09/2018 01/29/2021   AA-SO-2018-65
                                                                                                                                                              The National Republic Bank of Chicago 14399 Patel, Hiren Chicago, IL Notice $0 02/07/2018 12/08/2022 AA-EC-2018-89
                                                                                                                                                                Titan Bank, National Association 12437 Malone, Dacey Mineral Wells, TX Prohibition $0 11/29/2018     AA-EC-2018-71
                                                                                                                                                                  Titan Bank, National Association 12437 Malone, Dacey Mineral Wells, TX CMP $20,000 11/29/2018 N/A N/A AA-EC-2018-71
                                                                                                                                                                    U.S. Bank National Association 24   Cincinnati, OH CMP $75,000,000 02/15/2018 N/A N/A AA-EC-2018-84
                                                                                                                                                                      U.S. Bank National Association 24 Mitchell, Taylor Cincinnati, OH Prohibition $0 01/03/2018     AA-EC-2017-64
                                                                                                                                                                        UBS AG Miami Branch 80115   Miami, FL C&D $0 05/31/2018 12/31/2021   AA-EC-2018-30
                                                                                                                                                                          UBS AG NY 787 7th Ave WMA Branch 80113   New York, NY C&D $0 05/31/2018 12/31/2021   AA-EC-2018-30
                                                                                                                                                                            UBS AG Stamford Branch 80135   Stamford, CT C&D $0 05/31/2018 11/25/2025 AA-EC-2018-30
                                                                                                                                                                              Washington Federal, National Association 25073   Seattle, WA C&D $0 02/28/2018 12/17/2021 AA-WE-2018-1
                                                                                                                                                                                Webster Bank, National Association 24469 Carbonella, Stephen Waterbury, CT Prohibition $0 12/14/2018     AA-NE-2018-90
                                                                                                                                                                                  Wells Fargo Bank, National Association 1   Sioux Falls, SD C&D $0 04/20/2018 02/13/2025 AA-EC-2018-15
                                                                                                                                                                                    Wells Fargo Bank, National Association 1   Sioux Falls, SD CMP $500,000,000 04/20/2018 N/A N/A AA-EC-2018-16
                                                                                                                                                                                      Wells Fargo Bank, National Association 1   Sioux Falls, SD REST See Order 04/20/2018     AA-EC-2018-15
                                                                                                                                                                                        Wells Fargo Bank, National Association 1 Flores, Jose Sioux Falls, SD Prohibition $0 10/11/2018     AA-EC-18-58
                                                                                                                                                                                          Wells Fargo Bank, National Association 1 Juarez, Javier Sioux Falls, SD Prohibition $0 12/18/2018     AA-EC-2018-80
                                                                                                                                                                                            Wells Fargo Bank, National Association 1 Majette, Marcus A. Sioux Falls, SD Prohibition $0 03/16/2018     AA-EC-2018-4
                                                                                                                                                                                              Wells Fargo Bank, National Association 1 Middick, Austen C. Sioux Falls, SD Prohibition $0 09/10/2018     AA-EC-2018-46
                                                                                                                                                                                                Wells Fargo Bank, National Association 1 Rivera, Jenice Sioux Falls, SD Prohibition $0 07/10/2018     AA-EC-2018-35
                                                                                                                                                                                                  First Previous Next Last

                                                                                                                                                                                                  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.