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| Bank of America, National Association | 13044 | Rivera, Christian | Charlotte, NC | Prohibition | $0 | 09/09/2020 | AA-EC-2020-32 |
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| Bank of America, National Association | 13044 | Salgador, Yadira | Charlotte, NC | Prohibition | $0 | 02/27/2020 | AA-EC-2020-7 |
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| Bank of America, National Association | 13044 | Tamayo, Robert | Charlotte, NC | Prohibition | $0 | 02/12/2020 | AA-EC-2020-1 |
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| Barrington Bank & Trust Company, National Association | 23216 | Shara, Michael | Barrington, IL | C&D | $0 | 06/23/2020 | AA-EC-2020-041 |
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| Barrington Bank & Trust Company, National Association | 23216 | Shara, Michael | Barrington, IL | CMP | $5,000 | 06/23/2020 | N/A | N/A | AA-EC-2020-41 |
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| Barrington Bank & Trust Company, National Association | 23216 | Wettstein, Jeffrey | Barrington, IL | C&D | $0 | 06/23/2020 | AA-EC-2020-42 |
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| Barrington Bank & Trust Company, National Association | 23216 | Wettstein, Jeffrey | Barrington, IL | CMP | $5,000 | 06/23/2020 | N/A | N/A | AA-EC-2020-42 |
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| Business Bank of Texas, National Association | 24744 | Austin, TX | FA | $0 | 10/05/2020 | 05/03/2021 | AA-SO-2020-68 |
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| Capital One Bank (USA), National Association | 24828 | Glen Allen, VA | C&D | $0 | 08/05/2020 | 08/31/2022 | AA-EC-20-49 |
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| Capital One Bank (USA), National Association | 24828 | Glen Allen, VA | CMP | $80,000,000 | 08/05/2020 | N/A | N/A | AA-EC-20-51 |
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| Capital One, National Association | 13688 | Mclean, VA | C&D | $0 | 08/05/2020 | 08/31/2022 | AA-EC-20-49 |
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| Capital One, National Association | 13688 | Mclean, VA | CMP | $80,000,000 | 08/05/2020 | N/A | N/A | AA-EC-20-51 |
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| Capital One, National Association | 13688 | Hart, Victoria | Mclean, VA | Prohibition | $0 | 07/01/2020 | AA-EC-2020-30 |
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| Cfsbank | 703866 | Bassi, Neil | Charleroi, PA | Notice | $0 | 12/17/2020 | 11/29/2021 | AA-ENF-2020-85 |
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| Cfsbank | 703866 | Galloni, David | Charleroi, PA | C&D | $0 | 10/13/2020 | AA-ENF-2020-62 |
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| Cfsbank | 703866 | Galloni, David | Charleroi, PA | CMP | $12,000 | 10/13/2020 | N/A | N/A | AA-ENF-2020-62 |
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| CIT Bank, National Association | 25079 | Pasadena, CA | CMP | $82,500 | 09/16/2020 | N/A | N/A | AA-WE-2020-56 |
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| Citibank, N.A. | 1461 | Sioux Falls, SD | CMP | $17,998,510 | 01/17/2020 | N/A | N/A | AA-EC-209-91 |
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| Citibank, N.A. | 1461 | Ramchandani, Rohan | Sioux Falls, SD | Notice | $0 | 08/11/2020 | 07/08/2021 | AA-EC-2017-2 |
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| Citibank, National Association | 1461 | Sioux Falls, SD | C&D | $0 | 10/07/2020 | AA-EC-2020-64 |
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| Citibank, National Association | 1461 | Sioux Falls, SD | CMP | $400,000,000 | 10/07/2020 | N/A | N/A | AA-EC-2020-65 |
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| Citizens Bank, National Association | 24571 | Maffettone, Biagio | Providence, RI | Notice | $0 | 05/07/2020 | 07/19/2022 | AA-EC-2020-38 |
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| City National Bank of New Jersey | 16142 | Ahluwalia, Ridhima | Newark, NJ | C&D | $0 | 08/27/2020 | AA-EC-2020-23 |
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| City National Bank of New Jersey | 16142 | Ahluwalia, Ridhima | Newark, NJ | CMP | $7,000 | 08/27/2020 | N/A | N/A | AA-EC-2020-23 |
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| City National Bank of New Jersey | 16142 | Anglin, Roland | Newark, NJ | CMP | $14,000 | 08/27/2020 | N/A | N/A | AA-EC-2020-24 |
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| City National Bank of New Jersey | 16142 | Carney, Alfonso | Newark, NJ | CMP | $14,000 | 09/15/2020 | N/A | N/A | AA-EC-2020-025 |
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| City National Bank of New Jersey | 16142 | Highsmith, Karen | Newark, NJ | C&D | $0 | 08/27/2020 | AA-EC-2020-21 |
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| City National Bank of New Jersey | 16142 | Highsmith, Karen | Newark, NJ | CMP | $6,000 | 08/27/2020 | N/A | N/A | AA-EC-2020-21 |
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| City National Bank of New Jersey | 16142 | Hopson, Michael | Newark, NJ | CMP | $14,000 | 08/27/2020 | N/A | N/A | AA-EC-2020-26 |
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| City National Bank of New Jersey | 16142 | Monegro, David | Newark, NJ | Prohibition | $0 | 10/13/2020 | AA-EC-2020-19 |
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| City National Bank of New Jersey | 16142 | Monegro, David | Newark, NJ | CMP | $25,000 | 10/13/2020 | N/A | N/A | AA-EC-2020-19 |
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| City National Bank of New Jersey | 16142 | Pinkett, Preston D. | Newark, NJ | C&D | $0 | 08/18/2020 | AA-EC-2020-20 |
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| City National Bank of New Jersey | 16142 | Pinkett, Preston D. | Newark, NJ | CMP | $70,000 | 08/18/2020 | N/A | N/A | AA-EC-2020-20 |
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| City National Bank of New Jersey | 16142 | Whigham, Lemar | Newark, NJ | CMP | $3,000 | 08/18/2020 | N/A | N/A | AA-EC-2020-27 |
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| City National Bank of New Jersey | 16142 | Williams, H. O'Neil | Newark, NJ | CMP | $10,000 | 08/17/2020 | N/A | N/A | AA-EC-2020-28 |
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| Community Federal Savings Bank | 717528 | Woodhaven, NY | FA | $0 | 02/20/2020 | 01/20/2022 | AA-NE-2020-8 |
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| Communitybank of Texas, National Association | 12898 | Beaumont, TX | FA | $0 | 06/18/2020 | 09/07/2021 | AA-SO-2020-40 |
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| Eastern National Bank | 15748 | Miami, FL | C&D | $0 | 11/19/2020 | 04/25/2025 | AA-EC-2020-46 |
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| First Abu Dhabi Bank USA N.V. | 80016 | Washington, DC | CMP | $5,000,000 | 10/09/2020 | N/A | N/A | AA-ENF-2020-60 |
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| First National Bank | 6813 | Hahn, Lorraine | Bagley, MN | Prohibition | $0 | 04/29/2020 | AA-EC-2020-29 |
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| First National Bank | 6813 | Hahn, Lorraine | Bagley, MN | CMP | $15,000 | 04/29/2020 | N/A | N/A | AA-EC-2020-29 |
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| First National Bank of Muscatine | 15579 | Muscatine, IA | FA | $0 | 06/16/2020 | 06/09/2022 | AA-WE-2020-44 |
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| First National Bank of Omaha | 209 | Zeitner, Michelle | Omaha, NE | Prohibition | $0 | 12/11/2020 | AA-EC-2020-17 |
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| Firstar Bank, National Association | 15429 | Mulder, William Brian | Sallisaw, OK | Prohibition | $0 | 09/03/2020 | AA-EC-2019-43 |
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| Firstar Bank, National Association | 15429 | Mulder, William Brian | Sallisaw, OK | C&D | $0 | 09/03/2020 | AA-EC-2019-43 |
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| Firstar Bank, National Association | 15429 | Mulder, William Brian | Sallisaw, OK | CMP | $250,000 | 09/03/2020 | N/A | N/A | AA-EC-2019-43 |
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| Firstar Bank, National Association | 15429 | Mulder, William Brian | Sallisaw, OK | REST | $2,359,257 | 09/03/2020 | AA-EC-2019-43 |
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| Florida Capital Bank, National Association | 20214 | Jacksonville, FL | FA | $0 | 04/13/2020 | 01/26/2022 | AA-SO-2020-06 |
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| Gateway Bank, F.S.B. | 708857 | Oakland, CA | C&D | $0 | 11/12/2020 | 08/26/2025 | AA-ENF-2020-69 |
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| GN Bank | 703395 | Chicago, IL | C&D | $0 | 09/18/2020 | 06/30/2025 | AA-EC-2020-50 |
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| Golden Pacific Bank, National Association | 20862 | Lyon, Bradley | Sacramento, CA | C&D | $0 | 12/10/2020 | AA-WE-2020-6 I |
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| Golden Pacific Bank, National Association | 20862 | Lyon, Bradley | Sacramento, CA | CMP | $10,000 | 12/10/2020 | N/A | N/A | AA-WE-2020-6 I |
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| HSBC Bank USA, National Association | 24522 | Johnson, Mark | Tysons, VA | Prohibition | $0 | 12/10/2020 | AA-EC-20-81 |
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| JPMorgan Chase Bank, National Association | 8 | Columbus, OH | CMP | $250,000,000 | 11/24/2020 | N/A | N/A | AA-ENF-2020-70 |
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| JPMorgan Chase Bank, National Association | 8 | Majano, Andres David | Columbus, OH | Prohibition | $0 | 06/08/2020 | AA-EC-2020-37 |
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| JPMorgan Chase Bank, National Association | 8 | Ruffo, Jeffrey | Columbus, OH | Suspension | $0 | 01/08/2020 | 01/18/2023 | AA-EC-2019-95 |
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| JPMorgan Chase Bank, National Association | 8 | Solivan, Rosa L. | Columbus, OH | Prohibition | $0 | 01/28/2020 | AA-EC-2019-79 |
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| JPMorgan Chase Bank, National Association | 8 | Usher, Richard | Columbus, OH | Notice | $0 | 08/11/2020 | 07/08/2021 | AA-EC-2017-3 |
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| M.Y. Safra Bank, FSB | 715731 | New York, NY | C&D | $0 | 01/30/2020 | 05/26/2023 | AA-NE-2020-5 |
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| Mission National Bank | 17176 | San Francisco, CA | C&D | $0 | 04/14/2020 | 12/16/2025 | AA-WE-2020-16 |
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| Morgan Stanley Bank, N.A. | 24908 | Salt Lake City, UT | CMP | $60,000,000 | 10/08/2020 | N/A | N/A | AA-EC-20-66 |
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| Morgan Stanley Private Bank, National Association | 24981 | Purchase, NY | CMP | $60,000,000 | 10/08/2020 | N/A | N/A | AA-EC-20-66 |
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| Mutual Savings Bank | 704516 | Hartsville, SC | FA | $0 | 02/26/2020 | 01/31/2024 | AA-NE-2020-13 |
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| Neighborhood National Bank | 22770 | San Diego, CA | CMP | $100,000 | 06/23/2020 | N/A | N/A | AA-EC-2020-15 |
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| People's United Bank, National Association | 25103 | Taffe, Shantel | Bridgeport, CT | Prohibition | $0 | 08/18/2020 | AA-EC-2020-33 |
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| PNC Bank, National Association | 1316 | Clevenger, Eric M. | Wilmington, DE | Prohibition | $0 | 04/09/2020 | AA-EC-2019-63 |
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| PNC Bank, National Association | 1316 | Douglas, Denton | Wilmington, DE | Notice | $0 | 06/22/2020 | 01/08/2021 | AA-EC-20-39 |
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| Santander Bank, National Association | 25022 | Hughes, Caroline J. | Wilmington, DE | Prohibition | $0 | 07/13/2020 | AA-EC-2020-45 |
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| South Central Bank, National Association | 24430 | Sangster, Christopher | Chicago, IL | Notice | $0 | 02/06/2020 | 05/17/2021 | AA-CE-2019-58 |
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| State Farm Bank, FSB | 714640 | Bloomington, IL | CMP | $547,200 | 11/04/2020 | N/A | N/A | AA-CE-2020-71 |
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| The First National Bank and Trust Company of Vinita | 4704 | Vinita, OK | C&D | $0 | 07/16/2020 | 05/21/2021 | AA-EC-2020-43 |
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| U.S. Bank National Association | 24 | Jones, Jamika | Cincinnati, OH | Prohibition | $0 | 01/28/2020 | AA-EC-2020-3 |
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| U.S. Bank National Association | 24 | LaFontaine, Michael S. | Cincinnati, OH | CMP | $50,000 | 03/05/2020 | N/A | N/A | AA-EC-2019-94 |
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| USAA Federal Savings Bank | 707975 | San Antonio, TX | CMP | $382,500 | 11/11/2020 | N/A | N/A | AA-SO-2020-72 |
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| USAA Federal Savings Bank | 707975 | San Antonio, TX | CMP | $85,000,000 | 10/14/2020 | N/A | N/A | AA-ENF-2020-67 |
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| Wells Fargo Bank, National Association | 1 | Bridges, Pamela | Sioux Falls, SD | Prohibition | $0 | 02/13/2020 | AA-EC-2020-04 |
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| Wells Fargo Bank, National Association | 1 | Hardison, Hope | Sioux Falls, SD | C&D | $0 | 01/21/2020 | AA-EC-2019-69 |
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| Wells Fargo Bank, National Association | 1 | Hardison, Hope | Sioux Falls, SD | CMP | $2,250,000 | 01/21/2020 | N/A | N/A | AA-EC-2019-69 |
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| Wells Fargo Bank, National Association | 1 | Julian, David | Sioux Falls, SD | Notice | $0 | 01/23/2020 | 01/14/2025 | AA-EC-2019-71 |
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| Wells Fargo Bank, National Association | 1 | Kidd, Tracy | Sioux Falls, SD | C&D | $0 | 09/21/2020 | AA-EC-2020-52 |
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| Wells Fargo Bank, National Association | 1 | Kidd, Tracy | Sioux Falls, SD | CMP | $350,000 | 09/21/2020 | N/A | N/A | AA-EC-2020-52 |
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| Wells Fargo Bank, National Association | 1 | Loughlin, Michael | Sioux Falls, SD | C&D | $0 | 01/08/2020 | AA-EC-2019-86 |
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| Wells Fargo Bank, National Association | 1 | Loughlin, Michael | Sioux Falls, SD | CMP | $1,250,000 | 01/08/2020 | N/A | N/A | AA-EC-2019-86 |
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| Wells Fargo Bank, National Association | 1 | McLinko, Paul | Sioux Falls, SD | Notice | $0 | 01/23/2020 | 01/14/2025 | AA-EC-2019-72 |
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| Wells Fargo Bank, National Association | 1 | Purvis, Khalidah | Sioux Falls, SD | Prohibition | $0 | 03/03/2020 | AA-EC-2019-75 |
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| Wells Fargo Bank, National Association | 1 | Raphaelson, Matthew | Sioux Falls, SD | Prohibition | $0 | 09/21/2020 | AA-EC-2020-53 |
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| Wells Fargo Bank, National Association | 1 | Raphaelson, Matthew | Sioux Falls, SD | CMP | $925,000 | 09/21/2020 | N/A | N/A | AA-EC-2020-53 |
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| Wells Fargo Bank, National Association | 1 | Roman, Sara | Sioux Falls, SD | Prohibition | $0 | 11/03/2020 | AA-EC-2020-11 |
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| Wells Fargo Bank, National Association | 1 | Roman, Sara | Sioux Falls, SD | Notice | $0 | 03/06/2020 | 11/03/2020 | AA-EC-2020-11 |
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| Wells Fargo Bank, National Association | 1 | Russ Anderson, Claudia | Sioux Falls, SD | Notice | $0 | 01/23/2020 | 01/14/2025 | AA-EC-2019-81 |
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| Wells Fargo Bank, National Association | 1 | Strother, James | Sioux Falls, SD | Notice | $0 | 01/23/2020 | 01/13/2021 | AA-EC-2019-70 |
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| Wells Fargo Bank, National Association | 1 | Stumpf, John | Sioux Falls, SD | Prohibition | $0 | 01/22/2020 | AA-EC-2019-83 |
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| Wells Fargo Bank, National Association | 1 | Stumpf, John | Sioux Falls, SD | CMP | $17,500,000 | 01/22/2020 | N/A | N/A | AA-EC-2019-83 |
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| Wells Fargo Bank, National Association | 1 | Tolstedt, Carrie | Sioux Falls, SD | Notice | $0 | 01/23/2020 | 03/09/2023 | AA-EC-2019-82 |
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| Wells Fargo Bank, National Association | 1 | Welty, David | Sioux Falls, SD | Prohibition | $0 | 02/10/2020 | AA-EC-2020-2 |
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| Wells Fargo Bank, National Association | 1 | Zimmerman, Kenneth | Sioux Falls, SD | C&D | $0 | 09/21/2020 | AA-EC-2020-54 |
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| Wells Fargo Bank, National Association | 1 | Zimmerman, Kenneth | Sioux Falls, SD | CMP | $400,000 | 09/21/2020 | N/A | N/A | AA-EC-2020-54 |
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