Office of the Comptroller of the Currency

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Bank of America, National Association 13044 Cortes, Marcos Charlotte, NC Prohibition $0 03/07/2019     AA-EC-2018-93
    Bank of America, National Association 13044 Suarez, Jessica de la Caridad Charlotte, NC Prohibition $0 01/04/2019     AA-EC-2019-2
      Beauregard FSB 705195   Deridder, LA FA $0 09/30/2019 07/11/2024 AA-SO-2019-57
        Beauregard FSB 705195 Green, Carroll Deridder, LA CMP $5,000 08/05/2019 N/A N/A SO-2019-40
          Beauregard FSB 705195 Stark, Rafeal Webb Deridder, LA CMP $15,000 08/05/2019 N/A N/A SO-2019-41
            Ben Franklin Bank of Illinois 715152   Arlington Heights, IL FA $0 02/05/2019 09/30/2020   AA-EC-2019-4
              BOKF, National Association 13679 Olsen, William Tulsa, OK Prohibition $0 01/28/2019     AA-EC-2018-63
                BOKF, National Association 13679 Olsen, William Tulsa, OK CMP $20,000 01/28/2019 N/A N/A AA-EC-2018-63
                  Capital One, National Association 13688 Hawkins, Adrian Mclean, VA Prohibition $0 08/26/2019     AA-EC-2019-34
                    Cfsbank 703866   Charleroi, PA FA $0 03/12/2019 06/25/2021 AA-NEDO-2019-16
                      CIT Bank, National Association 25079 Ortega, Delia Pasadena, CA Prohibition $0 12/13/2019     AA-EC-2019-61
                        Citibank, N.A. 1461   Sioux Falls, SD CMP $30,000,000 10/11/2019 N/A N/A AA-EC-2019-67
                          Citibank, N.A. 1461   Sioux Falls, SD CMP $25,000,000 03/19/2019 N/A N/A AA-EC-2019-8
                            City National Bank of New Jersey 16142   Newark, NJ PCAD $0 06/26/2019 11/01/2019   AA-EC-2019-38
                              Colonial Savings, F.A. 706809   Fort Worth, TX CMP $136,000 04/30/2019 N/A N/A AA-SO-2019-23
                                First National Bank in Fairfield 13991   Fairfield, IA C&D $0 10/21/2019 06/09/2022   AA-WE-2019-64
                                  First Niagara Bank, National Association 24968 Moore, Lisa Buffalo, NY Prohibition $0 07/12/2019     AA-EC-2019-26
                                    First Southern National Bank 1493 Dailey, McKinley Lancaster, KY Prohibition $0 06/07/2019     AA-EC-2019-20
                                      First Southern National Bank 1493 Dailey, McKinley Lancaster, KY C&D $0 06/07/2019     AA-EC-2019-20
                                        First Southern National Bank 1493 Dailey, McKinley Lancaster, KY CMP $27,500 06/07/2019 N/A N/A AA-EC-2019-20
                                          First Southern National Bank 1493 Dailey, McKinley Lancaster, KY REST $26,386 06/07/2019     AA-EC-2019-20
                                            Firstar Bank, National Association 15429 Mulder, William Brian Sallisaw, OK Notice $0 07/11/2019 09/03/2020 AA-EC-2019-43
                                              JPMorgan Chase Bank, National Association 8 Aiyer, Akshay Columbus, OH Suspension $0 01/07/2019 05/23/2022   AA-EC-2018-68
                                                JPMorgan Chase Bank, National Association 8 Fabon, Troy D. Columbus, OH Prohibition $0 05/16/2019     AA-EC-2019-16
                                                  JPMorgan Chase Bank, National Association 8 McSorley, Roseann Columbus, OH CMP $35,000 10/28/2019 N/A N/A AA-EC-2019-49
                                                    JPMorgan Chase Bank, National Association 8 Nowak, Michael Columbus, OH Suspension $0 11/07/2019     AA-EC-2019-77
                                                      JPMorgan Chase Bank, National Association 8 Smith, Gregg Columbus, OH Suspension $0 11/07/2019     AA-EC-2019-77
                                                        Midfirst Bank 714191   Oklahoma City, OK CMP $35,000 04/09/2019 N/A N/A AA-SO-2019-22
                                                          Midland FS & LA 704475 Erakat, Napela Bridgeview, IL Prohibition $0 12/17/2019     AA-EC-2019-78
                                                            Midsouth Bank, National Association 18484   Lafayette, LA CMP $108,796 09/11/2019 N/A N/A
                                                              Morgan Stanley Bank, N.A. 24908 Dorman, Amie Salt Lake City, UT CMP $7,500 09/30/2019 N/A N/A AA-EC-2019-50
                                                                MUFG Bank, Ltd. Chicago Branch 80140   Chicago, IL C&D $0 02/21/2019 12/30/2022 AA-EC-2019-7
                                                                  MUFG Bank, Ltd. Los Angeles Branch 80141   Los Angeles, CA C&D $0 02/21/2019 12/30/2022 AA-EC-2019-7
                                                                    MUFG Bank, Ltd. Primary NY Branch 80138   New York, NY C&D $0 02/21/2019 12/30/2022 AA-EC-2019-7
                                                                      MUFG Union Bank, National Association 21541   San Francisco, CA CMP $109,667 07/29/2019 N/A N/A AA-EC-2019-36
                                                                        Mutual of Omaha Bank 708146   Omaha, NE CMP $98,415 11/21/2019 N/A N/A AA-WE-2019-84
                                                                          Northwestern Bank, National Association 24372 Thomason, Matthew Dilworth, MN Prohibition $0 05/06/2019     AA-EC-2019-3  
                                                                          Northwestern Bank, National Association 24372 Thomason, Matthew Dilworth, MN C&D $0 05/06/2019     AA-EC-2019-3  
                                                                          Northwestern Bank, National Association 24372 Thomason, Matthew Dilworth, MN REST See Order 05/06/2019     AA-EC-2019-3  
                                                                          Northwestern Bank, National Association 24372 Thomason, Matthew Dilworth, MN Notice $0 04/11/2019 05/08/2019 AA-EC-2019-17
                                                                            PNC Bank, National Association 1316 Clevenger, Eric M. Wilmington, DE Notice $0 08/26/2019 04/09/2020 AA-EC-2019-63
                                                                              Rabobank, National Association 24583 Weiss, Daniel Roseville, CA Prohibition $0 07/17/2019     AA-EC-2018-95  
                                                                              Rabobank, National Association 24583 Weiss, Daniel Roseville, CA CMP $50,000 07/17/2019 N/A N/A AA-EC-2018-95  
                                                                              Rabobank, National Association 24583 Weiss, Daniel Roseville, CA Notice $0 03/25/2019 07/19/2019
                                                                              AA-EC-2018-95T
                                                                              		 AA-EC-2018-95
                                                                                Resolute Bank 718042   Maumee, OH PCAD $0 09/18/2019 10/25/2019   AA-EC-2019-68
                                                                                  Santander Bank, National Association 25022 Mills, Walter F. Wilmington, DE Prohibition $0 12/13/2019     AA-EC-2019-11
                                                                                    Santander Bank, National Association 25022 Mills, Walter F. Wilmington, DE Notice $0 05/20/2019 12/13/2019 AA-EC-2019-11
                                                                                      Simmons First National Bank 6680 Elkins, Chris Pine Bluff, AR C&D $0 07/23/2019     AA-EC-2019-29
                                                                                        Simmons First National Bank 6680 Elkins, Chris Pine Bluff, AR CMP $9,500 07/23/2019 N/A N/A AA-EC-2019-29
                                                                                          Sterling Bank and Trust, FSB 708028   Southfield, MI FA $0 06/18/2019 09/27/2022
                                                                                            Texas Citizens Bank, National Association 24640   Pasadena, TX FA $0 12/18/2019 10/18/2021 AA-SO-2019-90
                                                                                              The City National Bank and Trust Company of Lawton, Oklahoma 5753 Woodson, Lori Christine Lawton, OK Prohibition $0 09/03/2019     AA-EC-2019-53
                                                                                                The Federal Savings Bank 716195 Calk, Stephen M. Chicago, IL Suspension $0 05/24/2019     AA-EC-2019-28
                                                                                                  The First National Bank of Fleming 11571   Fleming, CO FA $0 11/22/2019 02/25/2021 AA-WE-2019-80
                                                                                                    The First National Bank of Hope 12384   Hope, KS FA $0 07/17/2019 11/16/2022 AA-WE-2019-32
                                                                                                      The First National Bank of Tahoka 8597   Tahoka, TX FA $0 06/20/2019 06/04/2021   AA-SO-2019-28
                                                                                                        The First National Bank of Woodsboro 11379 Jones, Jason Woodsboro, TX C&D $0 04/10/2019     AA-EC-2019-19
                                                                                                          The Huntington National Bank 7745 Harris, Nodia Columbus, OH Prohibition $0 08/19/2019     AA-EC-2019-51
                                                                                                            The Northumberland National Bank 7005 Heintzelman, Scott A. Northumberland, PA Prohibition $0 08/01/2019     AA-EC-2019-42
                                                                                                              The Northumberland National Bank 7005 Heintzelman, Scott A. Northumberland, PA CMP $100,000 08/01/2019 N/A N/A AA-EC-2019-42
                                                                                                                U.S. Bank National Association 24 Dunn, D'Andrea L. Cincinnati, OH Prohibition $0 10/02/2019     AA-EC-2019-48
                                                                                                                  U.S. Bank National Association 24 Moore, Geraldine Cincinnati, OH Prohibition $0 03/06/2019     AA-EC-2018-45
                                                                                                                    United Americas Bank, National Association 23781 Blanton, William R. Atlanta, GA CMP $10,000 03/11/2019 N/A N/A AA-EC-2015-24
                                                                                                                      United Trust Bank 716310   Palos Heights, IL FA $0 12/18/2019 03/15/2023 AA-EC-2019-89
                                                                                                                        USAA Federal Savings Bank 707975   San Antonio, TX C&D $0 01/07/2019 12/18/2024 AA-EA-2018-90
                                                                                                                          Wells Fargo Bank, National Association 1 Abreu, Lisandra Sioux Falls, SD Prohibition $0 07/29/2019    
                                                                                                                            Wells Fargo Bank, National Association 1 Cannaday, Andreliqua Sioux Falls, SD Prohibition $0 09/29/2019     AA-EC-2019-60
                                                                                                                              Wells Fargo Bank, National Association 1 Mertz, Kimberly Sioux Falls, SD Prohibition $0 05/16/2019     AA-EC-2018-48
                                                                                                                                Wells Fargo Bank, National Association 1 Parnell, Cheraye C. Sioux Falls, SD Prohibition $0 01/16/2019     AA-EC-2017-60
                                                                                                                                  Wells Fargo Bank, National Association 1 Riley, Ginger Sioux Falls, SD Prohibition $0 02/21/2019     AA-EC-2019-6
                                                                                                                                    Wells Fargo Bank, National Association 1 Smith, Teanna Sioux Falls, SD Prohibition $0 08/28/2019     AA-EC-2019-33
                                                                                                                                      Wilmington Savings Fund Society, Federal Savings Bank 707938   Wilmington, DE CMP $85,265 06/13/2019 N/A N/A AA-NE-2019-35
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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.