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Agreement", "Amount": "0.00", "StartDate": "07/28/1998", "StartDocuments": [ "98-40" ], "TerminationDate": "10/01/1998", "TerminationDocuments": [ "98-64" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "American Investment Bank, National Association", "CharterNumber": "18174", "Company": "", "Individual": "", "Location": "Salt Lake City, UT", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "02/14/2003", "StartDocuments": [ "2003-22" ], "TerminationDate": "09/06/2005", "TerminationDocuments": [ "2005-125" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "American Investors Bank and Mortgage", "CharterNumber": "717958", "Company": "", "Individual": "", "Location": "Eden Prairie, MN", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "04/17/2017", "StartDocuments": [ "2017-037" ], "TerminationDate": "09/06/2018", "TerminationDocuments": [ "2018-075" ], "DocketNumber": "", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Asset Quality", "Capital", "Concentration Risk Management", "Lending Issues", "Liquidity", "Other Lending Deficiencies", "Strategic Planning" ] }, { "Institution": "American L & SA", "CharterNumber": "706160", "Company": "", "Individual": "", "Location": "Hannibal, MO", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "07/14/2010", "StartDocuments": [ "SA" ], "TerminationDate": "09/14/2014", "TerminationDocuments": [ "2014-124" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "American National Bank", "CharterNumber": "18303", "Company": "", "Individual": "", "Location": "Gonzales, TX", "TypeCode": "PCAD", "TypeDescription": "Prompt Corrective Action (PCA) Directive", "Amount": "0.00", "StartDate": "01/27/1993", "StartDocuments": [ "93-12" ], "TerminationDate": "12/22/1994", "TerminationDocuments": [ "94-270" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "American National Bank", "CharterNumber": "15496", "Company": "", "Individual": "", "Location": "Hamden, CT", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "06/12/1992", "StartDocuments": [ "618" ], "TerminationDate": "03/05/1993", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "American National Bank", "CharterNumber": "18580", "Company": "", "Individual": "Austin Lowrey", "Location": "Elk City, OK", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "09/15/1989", "StartDocuments": [ "1" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-89-36", "SubjectMatters": [] }, { "Institution": "American National Bank", "CharterNumber": "18613", "Company": "", "Individual": "", "Location": "Oakland Park, FL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "01/05/2012", "StartDocuments": [ "2012-010" ], "TerminationDate": "08/22/2013", "TerminationDocuments": [ "2013-215" ], "DocketNumber": "", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Asset Quality", "BSA Independent Testing/Audit", "BSA Internal Controls", "BSA SAR Violation / 12 CFR 21.11 or 163.180", "BSA Training", "BSA Violation Cited", "BSA/AML", "Lending Issues", "OFAC Compliance Issue", "Other Lending Deficiencies", "SAR/CTR Monitoring/Filing Issue" ] }, { "Institution": "American National Bank", "CharterNumber": "16617", "Company": "", "Individual": "", "Location": "Wichita Falls, TX", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "02/22/2011", "StartDocuments": [ "2011-034" ], "TerminationDate": "03/20/2013", "TerminationDocuments": [ "2013-039" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "American National Bank", "CharterNumber": "15435", "Company": "", "Individual": "", "Location": "Omaha, NE", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "13450.00", "StartDate": "06/22/2010", "StartDocuments": [ "2010-135" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-WE-10-56", "SubjectMatters": [] }, { "Institution": "American National Bank", "CharterNumber": "15109", "Company": "", "Individual": "", "Location": "Parma, OH", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "09/22/2009", "StartDocuments": [ "2009-167" ], "TerminationDate": "03/19/2010", "TerminationDocuments": [], "DocketNumber": "AA-CE-09-75", "SubjectMatters": [] }, { "Institution": "American National Bank", "CharterNumber": "17764", "Company": "", "Individual": "", "Location": "Ardmore, OK", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "07/07/2005", "StartDocuments": [ "2005-98" ], "TerminationDate": "05/19/2006", "TerminationDocuments": [ "2006-56" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "American National Bank", "CharterNumber": "15435", "Company": "", "Individual": "Jono Anzalone", "Location": "Omaha, NE", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "12/03/2007", "StartDocuments": [ "2007-132" ], "TerminationDate": "05/15/2015", "TerminationDocuments": [ "2015-054" ], "DocketNumber": "AA-EC-07-15", "SubjectMatters": [] }, { "Institution": "American National Bank", "CharterNumber": "15435", "Company": "", "Individual": "Jono Anzalone", "Location": "Omaha, NE", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "7500.00", "StartDate": "12/03/2007", "StartDocuments": [ "2007-132" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-07-15", "SubjectMatters": [] }, { "Institution": "American National Bank", "CharterNumber": "15383", "Company": "", "Individual": "Kevin Marvin", "Location": "Denver, CO", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "9000.00", "StartDate": "02/21/2008", "StartDocuments": [ "2008-009" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-06-85", "SubjectMatters": [] }, { "Institution": "American National Bank", "CharterNumber": "15383", "Company": "", "Individual": "Shaun L. McKinsey", "Location": "Denver, CO", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "01/05/2007", "StartDocuments": [ "2007-013" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2006-85", "SubjectMatters": [] }, { "Institution": "American National Bank", "CharterNumber": "15383", "Company": "", "Individual": "Shaun L. McKinsey", "Location": "Denver, CO", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1500.00", "StartDate": "01/05/2007", "StartDocuments": [ "2007-013" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2006-85", "SubjectMatters": [] }, { "Institution": "American National Bank", "CharterNumber": "15383", "Company": "", "Individual": "Robert Stevenson", "Location": "Denver, CO", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "4000.00", "StartDate": "02/21/2008", "StartDocuments": [ "2008-010" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-06-86", "SubjectMatters": [] }, { "Institution": "American National Bank", "CharterNumber": "16617", "Company": "ANLC (subsidiary of American National Bank)", "Individual": "Donald McKinney", "Location": "Wichita Falls, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "75000.00", "StartDate": "05/17/2005", "StartDocuments": [ "2005-80" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-04-70", "SubjectMatters": [] }, { "Institution": "American National Bank", "CharterNumber": "16617", "Company": "ANLC, an operating subsidiary", "Individual": "Donald K. McKinney", "Location": "Wichita Falls, TX", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "05/13/2005", "StartDocuments": [ "2005-86" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-04-70", "SubjectMatters": [] }, { "Institution": "American National Bank & Trust Co.", "CharterNumber": "13930", "Company": "", "Individual": "Stephen G. Gaddis", "Location": "Shawnee, OK", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3500.00", "StartDate": "06/05/1992", "StartDocuments": [ "627" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-SW-92-32", "SubjectMatters": [] }, { "Institution": "American National Bank & Trust Company", "CharterNumber": "6828", "Company": "", "Individual": "", "Location": "ST. PAUL, MN", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "50000.00", "StartDate": "01/24/1992", "StartDocuments": [ "985" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-SCP-92-04", "SubjectMatters": [] }, { "Institution": "American National Bank And Trust Company", "CharterNumber": "6828", "Company": "", "Individual": "", "Location": "ST. PAUL, MN", "TypeCode": "SEC", "TypeDescription": "Securities Enforcement Action", "Amount": "0.00", "StartDate": "01/24/1992", "StartDocuments": [ "985" ], "TerminationDate": "06/11/1996", "TerminationDocuments": [], "DocketNumber": "AA-SCP-92-04", "SubjectMatters": [] }, { "Institution": "American National Bank And Trust Company", "CharterNumber": "6828", "Company": "", "Individual": "", "Location": "ST. PAUL, MN", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "09/17/1991", "StartDocuments": [ "384" ], "TerminationDate": "08/20/1993", "TerminationDocuments": [ "93-237" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "American National Bank And Trust Company", "CharterNumber": "13930", "Company": "", "Individual": "Jerry L. Lanier", "Location": "Shawnee, OK", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "03/30/1992", "StartDocuments": [ "504" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-SW-92-31", "SubjectMatters": [] }, { "Institution": "American National Bank And Trust Company", "CharterNumber": "13930", "Company": "", "Individual": "Jim L. Pritchard", "Location": "Shawnee, OK", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "03/23/1992", "StartDocuments": [ "504" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-SW-92-33", "SubjectMatters": [] }, { "Institution": "American National Bank Of Arizona", "CharterNumber": "20670", "Company": "", "Individual": "", "Location": "Scottsdale, AR", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2100.00", "StartDate": "08/20/1990", "StartDocuments": [ "966" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-90-123", "SubjectMatters": [] }, { "Institution": "American National Bank Of Arizona", "CharterNumber": "20670", "Company": "", "Individual": "Peter C. Jones", "Location": "Scottsdale, AZ", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3500.00", "StartDate": "11/15/1993", "StartDocuments": [ "93-362" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-93-79", "SubjectMatters": [] }, { "Institution": "American National Bank Of Arizona", "CharterNumber": "20670", "Company": "", "Individual": "Robert E. Keyes", "Location": "Scottsdale, AZ", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "25000.00", "StartDate": "01/11/1994", "StartDocuments": [ "93-333" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-93-79", "SubjectMatters": [] }, { "Institution": "American National Bank Of Arizona", "CharterNumber": "20670", "Company": "", "Individual": "Brian P. Lee", "Location": "Scottsdale, AZ", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "7500.00", "StartDate": "01/11/1994", "StartDocuments": [ "94-176" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-93-79", "SubjectMatters": [] }, { "Institution": "American National Bank Of Arizona", "CharterNumber": "20670", "Company": "", "Individual": "Timothy J. McFarland", "Location": "Scottsdale, AZ", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "7000.00", "StartDate": "07/14/1993", "StartDocuments": [ "93-188" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-93-79", "SubjectMatters": [] }, { "Institution": "American National Bank of Arizona", "CharterNumber": "20670", "Company": "", "Individual": "", "Location": "Scottsdale, AZ", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "12/18/1991", "StartDocuments": [ "854" ], "TerminationDate": "05/24/1994", "TerminationDocuments": [ "94-115" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "American National Bank of Dekalb, The", "CharterNumber": "16199", "Company": "", "Individual": "", "Location": "DeKalb, IL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1800.00", "StartDate": "03/12/1991", "StartDocuments": [ "1041" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "American National Bank of Minnesota", "CharterNumber": "24219", "Company": "", "Individual": "", "Location": "Baxter, MN", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "08/20/2010", "StartDocuments": [ "2010-172" ], "TerminationDate": "12/02/2015", "TerminationDocuments": [ "2015-134" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "American National Bank of Minnesota", "CharterNumber": "24219", "Company": "", "Individual": "Carol McKay", "Location": "Baxter, MN", "TypeCode": "1829", "TypeDescription": "1829 Prohibition Notification", "Amount": "0.00", "StartDate": "12/14/2023", "StartDocuments": [ "2023-057" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Violation Cited (Criminal Statute)" ] }, { "Institution": "American National Bank of Minnesota", "CharterNumber": "24219", "Company": "", "Individual": "Tracy Rethwisch", "Location": "Baxter, MN", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "08/25/2021", "StartDocuments": [ "2021-033" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-CE-2021-16", "SubjectMatters": [ "Breach of Fiduciary Duty", "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "American National Bank Of New York", "CharterNumber": "8847", "Company": "", "Individual": "", "Location": "Fleischmanns, NY", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "05/09/1991", "StartDocuments": [ "283" ], "TerminationDate": "01/24/1992", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "American National Bank Of New York", "CharterNumber": "8847", "Company": "", "Individual": "", "Location": "Fleischmanns, NY", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2400.00", "StartDate": "12/03/1990", "StartDocuments": [ "1012" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-90-162", "SubjectMatters": [] }, { "Institution": "American National Bank of Union Springs, The", "CharterNumber": "12962", "Company": "", "Individual": "", "Location": "Union Springs, AL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "01/07/1993", "StartDocuments": [ "93-1" ], "TerminationDate": "09/19/1995", "TerminationDocuments": [ "95-58" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "American National Bank Post Oak", "CharterNumber": "20220", "Company": "", "Individual": "", "Location": "Houston, TX", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "01/09/1991", "StartDocuments": [ "162" ], "TerminationDate": "06/26/1992", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "American Security Bank N.A.", "CharterNumber": "16565", "Company": "", "Individual": "", "Location": "Washington, DC", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "01/15/1991", "StartDocuments": [ "156" ], "TerminationDate": "09/17/1993", "TerminationDocuments": [ "93-233" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "American Sterling Bank", "CharterNumber": "715909", "Company": "", "Individual": "Lawrence Keith Dodge", "Location": "Sugar Creek, MO", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "10/17/2012", "StartDocuments": [ "2012-241" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "OTS-AP-10-03", "SubjectMatters": [ "Breach of Fiduciary Duty", "Capital", "False Statements / Obstruction", "Inaccurate / Incomplete / False Books and Records", "Violation Cited (Criminal Statute)" ] }, { "Institution": "American Sterling Bank", "CharterNumber": "715909", "Company": "", "Individual": "Lawrence Keith Dodge", "Location": "Sugar Creek, MO", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1000000.00", "StartDate": "10/17/2012", "StartDocuments": [ "2012-234" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "OTS-AP-10-03", "SubjectMatters": [ "Breach of Fiduciary Duty", "Capital", "False Statements / Obstruction", "Inaccurate / Incomplete / False Books and Records", "Violation Cited (Criminal Statute)" ] }, { "Institution": "American West Bank N.A.", "CharterNumber": "18157", "Company": "", "Individual": "Melvin F. Shaw", "Location": "Encino, CA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1000.00", "StartDate": "02/14/1994", "StartDocuments": [ "94-14" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "American West Bank National Association", "CharterNumber": "18157", "Company": "", "Individual": "", "Location": "Encino, CA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "07/19/1993", "StartDocuments": [ "93-178" ], "TerminationDate": "09/07/1995", "TerminationDocuments": [ "95-59" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Americana National Bank", "CharterNumber": "10903", "Company": "", "Individual": "", "Location": "Albert Lea, MN", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "02/17/2004", "StartDocuments": [ "2004-169" ], "TerminationDate": "01/06/2005", "TerminationDocuments": [ "2005-189" ], "DocketNumber": "AA-EC-2003-10", "SubjectMatters": [] }, { "Institution": "Americana National Bank", "CharterNumber": "10903", "Company": "", "Individual": "", "Location": "Albert Lea, MN", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "03/31/2003", "StartDocuments": [ "2003-58" ], "TerminationDate": "01/06/2005", "TerminationDocuments": [ "2005-189" ], "DocketNumber": "AA-EC-2003-10", "SubjectMatters": [] }, { "Institution": "Americana National Bank", "CharterNumber": "10903", "Company": "", "Individual": "Jon R. Lindeman", "Location": "Albert Lea, MN", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "02/01/2004", "StartDocuments": [ "2004-3" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Americana National Bank", "CharterNumber": "10903", "Company": "", "Individual": "Jon R. Lindeman", "Location": "Albert Lea, MN", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "02/01/2004", "StartDocuments": [ "2004-3" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Americana National Bank", "CharterNumber": "10903", "Company": "", "Individual": "Jon R. 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(C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "11/30/2010", "StartDocuments": [ "NE-10-33" ], "TerminationDate": "06/15/2013", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Axiom Bank, National Association", "CharterNumber": "25139", "Company": "", "Individual": "", "Location": "Maitland, FL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "10/03/2024", "StartDocuments": [ "AA-SO-2024-83" ], "TerminationDate": "04/29/2026", "TerminationDocuments": [ "AA-SO-2026-26" ], "DocketNumber": "AA-SO-2024-83", "SubjectMatters": [ "BSA Internal Controls", "BSA Officer", "BSA Pillar Violation / 12 CFR 21.21(d)", "BSA Risk Assessment", "BSA Training", "BSA Violation Cited", "BSA/AML", "Customer/Enhanced Due Diligence (CDD/EDD)", "SAR/CTR Monitoring/Filing Issue" ] }, { "Institution": "B2 Bank National Association", "CharterNumber": "11622", "Company": "", "Individual": "", "Location": "Mt. Iron, MN", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "11/14/2023", "StartDocuments": [ "2023-036" ], "TerminationDate": "09/18/2025", "TerminationDocuments": [ "AA-CE-2025-48" ], "DocketNumber": "AA-CE-2023-36", "SubjectMatters": [ "Board / Management Oversight", "BSA Officer", "BSA Risk Assessment", "BSA Training", "BSA/AML", "Capital", "Concentration Risk Management", "Enterprise Governance / Internal Controls / General Risk Management", "Lending Issues", "Strategic Planning" ] }, { "Institution": "Bacliff Bank, National Association", "CharterNumber": "18483", "Company": "", "Individual": "Barry W. Fitzgerald", "Location": "Bacliff, TX", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "09/09/1992", "StartDocuments": [ "719" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Ballston Spa National Bank", "CharterNumber": "1253", "Company": "", "Individual": "", "Location": "Ballston Spa, NY", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "06/28/2001", "StartDocuments": [ "2001-114" ], "TerminationDate": "03/15/2004", "TerminationDocuments": [ "2004-31" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Banccentral, National Association", "CharterNumber": "12152", "Company": "", "Individual": "", "Location": "Alva, OK", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "11/09/2021", "StartDocuments": [ "2021-051" ], "TerminationDate": "06/20/2025", "TerminationDocuments": [], "DocketNumber": "AA-SO-2021-40", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Asset Quality", "Board / Management Oversight", "Capital", "Compensation", "Concentration Risk Management", "Credit/Collateral Exceptions", "Insider Issues", "Lending Issues", "Liquidity", "Loan Review", "Other Lending Deficiencies", "Problem Loan Identification", "Strategic Planning" ] }, { "Institution": "Banccentral, National Association", "CharterNumber": "12152", "Company": "", "Individual": "Larry DeWitt", "Location": "Alva, OK", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "01/08/2025", "StartDocuments": [ "AA-ENF-2024-101" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2024-101", "SubjectMatters": [ "Legal Lending Limit", "Lending Issues" ] }, { "Institution": "Banccentral, National Association", "CharterNumber": "12152", "Company": "", "Individual": "Derek Heaton", "Location": "Alva, OK", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "01/14/2025", "StartDocuments": [ "AA-ENF-2024-102" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2024-102", "SubjectMatters": [ "Breach of Fiduciary Duty", "Legal Lending Limit", "Lending Issues", "Other Lending Deficiencies" ] }, { "Institution": "Bancfirst-Austin National Association", "CharterNumber": "17920", "Company": "", "Individual": "David E. Keller", "Location": "Austin, TX", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "04/02/1991", "StartDocuments": [ "212" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-89-140", "SubjectMatters": [] }, { "Institution": "Bancfirst-Austin National Association", "CharterNumber": "17920", "Company": "", "Individual": "David E. Keller", "Location": "Austin, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000.00", "StartDate": "04/02/1991", "StartDocuments": [ "212" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Bancfirst-Austin, N.A.", "CharterNumber": "17920", "Company": "", "Individual": "F. Louis Freitag", "Location": "Austin, TX", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "05/01/1991", "StartDocuments": [ "864" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-89-139", "SubjectMatters": [] }, { "Institution": "Bancfirst-Austin, N.A.", "CharterNumber": "17920", "Company": "", "Individual": "F. Louis Freitag", "Location": "Austin, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000.00", "StartDate": "03/15/1991", "StartDocuments": [ "907" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-89-138", "SubjectMatters": [] }, { "Institution": "Banco Bradesco S.A.", "CharterNumber": "80041", "Company": "", "Individual": "", "Location": "New York, NY", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "01/26/2015", "StartDocuments": [ "2015-003" ], "TerminationDate": "10/28/2015", "TerminationDocuments": [ "2015-119" ], "DocketNumber": "AA-EC-2014-116", "SubjectMatters": [ "BSA Independent Testing/Audit", "BSA Internal Controls", "BSA Officer", "BSA Program Violation / 12 CFR 21.21", "BSA Risk Assessment", "BSA Training", "BSA Violation Cited", "BSA/AML", "Customer/Enhanced Due Diligence (CDD/EDD)", "SAR/CTR Monitoring/Filing Issue" ] }, { "Institution": "Banco de Chile", "CharterNumber": "80042", "Company": "", "Individual": "", "Location": "New York, NY", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3000000.00", "StartDate": "10/11/2005", "StartDocuments": [ "2005-140" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-05-84", "SubjectMatters": [] }, { "Institution": "Banco de Chile", "CharterNumber": "80042", "Company": "", "Individual": "", "Location": "New York, NY", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "02/01/2005", "StartDocuments": [ "2005-2" ], "TerminationDate": "03/17/2008", "TerminationDocuments": [ "2008-026" ], "DocketNumber": "AA-EC-05-09", "SubjectMatters": [] }, { "Institution": "Banco de Chile", "CharterNumber": "80042", "Company": "", "Individual": "Hernan Donoso", "Location": "New York, NY", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "04/14/2005", "StartDocuments": [ "2005-42" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-05-10", "SubjectMatters": [] }, { "Institution": "Banco de Chile", "CharterNumber": "80042", "Company": "", "Individual": "Hernan Donoso", "Location": "New York, NY", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "200000.00", "StartDate": "04/14/2005", "StartDocuments": [ "2005-42" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-05-10", "SubjectMatters": [] }, { "Institution": "Banco de Galicia Y Buenos Aires S.A.", "CharterNumber": "80109", "Company": "", "Individual": "", "Location": "New York, NY", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "03/11/2002", "StartDocuments": [ "2002-24" ], "TerminationDate": "01/30/2003", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Banco de LA Republica Oriental Del Uruguay", "CharterNumber": "80029", "Company": "", "Individual": "", "Location": "New York, NY", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "08/14/2002", "StartDocuments": [ "2002-83" ], "TerminationDate": "05/01/2007", "TerminationDocuments": [ "2007-062" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Banco Do Estado Do Parana", "CharterNumber": "80059", "Company": "", "Individual": "", "Location": "New York, NY", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "75000.00", "StartDate": "05/24/2000", "StartDocuments": [ "2000-51" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Banco Do Estado Do Parana S.A.", "CharterNumber": "80059", "Company": "", "Individual": "", "Location": "New York, NY", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "01/08/1998", "StartDocuments": [ "98-95" ], "TerminationDate": "01/18/2001", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Banco Economico S.A.", "CharterNumber": "80001", "Company": "", "Individual": "", "Location": "New York, NY", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "12/19/1995", "StartDocuments": [ "95-92" ], "TerminationDate": "03/02/2000", "TerminationDocuments": [], "DocketNumber": "AA-CC-95-14", "SubjectMatters": [] }, { "Institution": "Banco Economico S.A.", "CharterNumber": "80001", "Company": "", "Individual": "", "Location": "New York, NY", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "10/20/1995", "StartDocuments": [ "95-45" ], "TerminationDate": "03/20/2000", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Banco Nacional National Association", "CharterNumber": "18719", "Company": "", "Individual": "Jose E. Alegria", "Location": "Hato Rey, PR", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "02/02/1998", "StartDocuments": [ "98-14" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-96-22", "SubjectMatters": [] }, { "Institution": "Banco Nacional National Association", "CharterNumber": "18719", "Company": "", "Individual": "Jose E. Alegria", "Location": "Hato Rey, PR", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000.00", "StartDate": "02/02/1998", "StartDocuments": [ "98-14" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-96-22", "SubjectMatters": [] }, { "Institution": "Banco Nacional National Association", "CharterNumber": "18719", "Company": "", "Individual": "Carlos Conde", "Location": "Hato Rey, PR", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "15000.00", "StartDate": "11/22/1996", "StartDocuments": [ "96-65" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Banco Nacional National Association", "CharterNumber": "18719", "Company": "", "Individual": "Carlos Conde", "Location": "San Juan, PR", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "11/13/1996", "StartDocuments": [ "96-65" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Banco Nacional, N.A.", "CharterNumber": "18719", "Company": "", "Individual": "John Morris", "Location": "San Juan, PR", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "08/18/1997", "StartDocuments": [ "97-53" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Banco Nacional, N.A.", "CharterNumber": "18719", "Company": "", "Individual": "John Alexander Morris-Coll", "Location": "Hato Rey, PR", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "12500.00", "StartDate": "08/18/1997", "StartDocuments": [ "97-53" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Banco Nacional, National Association", "CharterNumber": "18719", "Company": "", "Individual": "Guido U. Maymi", "Location": "Hato Rey, PR", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "05/24/1990", "StartDocuments": [ "69" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Banco Pedroso, N.A.", "CharterNumber": "18283", "Company": "", "Individual": "", "Location": "Coral Gables, FL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1200.00", "StartDate": "05/16/1990", "StartDocuments": [ "71" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Banco Pedroso, National Association", "CharterNumber": "18283", "Company": "", "Individual": "", "Location": "Coral Gables, FL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "07/11/1991", "StartDocuments": [ "321" ], "TerminationDate": "08/21/1992", "TerminationDocuments": [ "695" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Banco Popular, National Association - Florida", "CharterNumber": "21061", "Company": "", "Individual": "", "Location": "Sanford, FL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "02/03/1993", "StartDocuments": [ "93-2" ], "TerminationDate": "01/26/1995", "TerminationDocuments": [ "95-2" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Banctexas Houston N.A.", "CharterNumber": "18172", "Company": "", "Individual": "", "Location": "Houston, TX", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "04/28/1992", "StartDocuments": [ "525" ], "TerminationDate": "05/31/1992", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Bangkok Bank Public Company Limited", "CharterNumber": "80080", "Company": "", "Individual": "", "Location": "New York City, NY", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "04/20/2006", "StartDocuments": [ "2006-29" ], "TerminationDate": "02/21/2008", "TerminationDocuments": [ "2008-013" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Bank @lantec", "CharterNumber": "717960", "Company": "", "Individual": "Michael LoCash", "Location": "Virginia Beach, VA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "09/09/2015", "StartDocuments": [ "2015-109" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2015-68", "SubjectMatters": [ "Breach of Fiduciary Duty", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Trading & Securities", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Bank 2000, National Association", "CharterNumber": "20578", "Company": "", "Individual": "", "Location": "McLean, VA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "02/06/1991", "StartDocuments": [ "196" ], "TerminationDate": "08/18/1995", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Bank 360", "CharterNumber": "705919", "Company": "", "Individual": "", "Location": "Beresford, SD", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "02/13/2012", "StartDocuments": [ "2012-022" ], "TerminationDate": "01/19/2013", "TerminationDocuments": [], "DocketNumber": "AA-WE-12-23", "SubjectMatters": [ "Asset Quality", "Capital", "Credit/Collateral Exceptions", "Inaccurate / Incomplete / False Books and Records", "Lending Issues", "Liquidity", "OREO", "Other Lending Deficiencies", "Problem Loan Identification", "Strategic Planning" ] }, { "Institution": "Bank 360", "CharterNumber": "705919", "Company": "", "Individual": "", "Location": "Beresford, SD", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "03/17/2010", "StartDocuments": [ "CN 10-09" ], "TerminationDate": "02/14/2012", "TerminationDocuments": [ "2012-051" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Bank Calumet National Association", "CharterNumber": "14379", "Company": "", "Individual": "Michael Peterson", "Location": "Hammond, IN", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "09/12/2006", "StartDocuments": [ "2006-115" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-06-58", "SubjectMatters": [] }, { "Institution": "Bank Meridian, National Association", "CharterNumber": "14835", "Company": "", "Individual": "", "Location": "Hampton, NH", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "03/22/1990", "StartDocuments": [ "58" ], "TerminationDate": "10/10/1991", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Bank Midwest, National Association", "CharterNumber": "22015", "Company": "", "Individual": "", "Location": "Kansas City, MO", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "05/11/2010", "StartDocuments": [ "2010-104" ], "TerminationDate": "12/10/2012", "TerminationDocuments": [], "DocketNumber": "AA-EC-10-43", "SubjectMatters": [] }, { "Institution": "Bank Of America", "CharterNumber": "13044", "Company": "", "Individual": "Brian C. Cia", "Location": "San Francisco, CA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "02/08/2000", "StartDocuments": [ "2000-8" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Bank Of America", "CharterNumber": "13044", "Company": "", "Individual": "Daniel D. Dagnino", "Location": "San Francisco, CA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "02/07/2000", "StartDocuments": [ "2000-9" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Bank Of America", "CharterNumber": "13044", "Company": "", "Individual": "Karen D. 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Webb", "Location": "Chicago, IL", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "03/19/2003", "StartDocuments": [ "2003-34" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Bank One, Texas, N.A.", "CharterNumber": "21969", "Company": "", "Individual": "", "Location": "Dallas, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "50000.00", "StartDate": "01/24/1992", "StartDocuments": [ "999" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-SCP-92-04", "SubjectMatters": [] }, { "Institution": "Bank One, Texas, N.A.", "CharterNumber": "21969", "Company": "", "Individual": "", "Location": "Dallas, TX", "TypeCode": "SEC", "TypeDescription": "Securities Enforcement Action", "Amount": "0.00", "StartDate": "01/24/1992", "StartDocuments": [ "999" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-SCP-92-04", "SubjectMatters": [] }, { "Institution": "Bank One, Texas, National Association", "CharterNumber": "21969", "Company": "", "Individual": "Richard G.. Canales", "Location": "Dallas, TX", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "02/08/2000", "StartDocuments": [ "2000-28" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Bank One, West Virginia, Williamson, N. A.", "CharterNumber": "10067", "Company": "", "Individual": "", "Location": "Williamson, WV", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2100.00", "StartDate": "02/18/1994", "StartDocuments": [ "94-17" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Bank South, National Association", "CharterNumber": "9617", "Company": "", "Individual": "", "Location": "Atlanta, GA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "08/16/1991", "StartDocuments": [ "379" ], "TerminationDate": "02/26/1993", "TerminationDocuments": [ "93-57" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Bank Star One National Association", "CharterNumber": "14876", "Company": "", "Individual": "Roy Landrum", "Location": "Fulton, MO", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "12/27/1989", "StartDocuments": [ "26" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Bank Usa, National Association", "CharterNumber": "17215", "Company": "", "Individual": "", "Location": "Kihei, HI", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "04/25/1991", "StartDocuments": [ "258" ], "TerminationDate": "05/19/1995", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Bank USA, National Association", "CharterNumber": "24690", "Company": "", "Individual": "", "Location": "Phoenix, AZ", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "09/18/2009", "StartDocuments": [ "2009-166" ], "TerminationDate": "10/30/2009", "TerminationDocuments": [], "DocketNumber": "AA-CE-09-76", "SubjectMatters": [] }, { "Institution": "Bankchampaign, National Association", "CharterNumber": "16643", "Company": "", "Individual": "L. Dean Clausen", "Location": "Champaign, IL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "0.00", "StartDate": "06/24/1999", "StartDocuments": [ "99-50" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Bankchampaign, National Association", "CharterNumber": "16643", "Company": "", "Individual": "Timothy G. Murphy", "Location": "Champaign, IL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "06/24/1999", "StartDocuments": [ "99-51" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Bankers Trust Of California, N.A.", "CharterNumber": "18608", "Company": "", "Individual": "", "Location": "Los Angeles, CA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3000.00", "StartDate": "12/20/1991", "StartDocuments": [ "484" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-92-02", "SubjectMatters": [] }, { "Institution": "Bankers Trust Of Louisiana, N.A.", "CharterNumber": "20879", "Company": "", "Individual": "Ronnie D. Bryan", "Location": "Kenner, LA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2000.00", "StartDate": "07/26/1993", "StartDocuments": [ "93-190" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-91-10", "SubjectMatters": [] }, { "Institution": "Bankers Trust Of Louisiana, N.A.", "CharterNumber": "20879", "Company": "", "Individual": "Ben Carollo", "Location": "Kenner, LA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "17000.00", "StartDate": "12/09/1991", "StartDocuments": [ "539" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-91-19", "SubjectMatters": [] }, { "Institution": "Bankers Trust Of Louisiana, N.A.", "CharterNumber": "20879", "Company": "", "Individual": "Robert G. Hardesty", "Location": "Kenner, LA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "15000.00", "StartDate": "02/18/1992", "StartDocuments": [ "925" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Bankers Trust Of Louisiana, N.A.", "CharterNumber": "20879", "Company": "", "Individual": "Robert Karem", "Location": "Kenner, LA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "17000.00", "StartDate": "12/09/1991", "StartDocuments": [ "539" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-91-18", "SubjectMatters": [] }, { "Institution": "Bankers Trust Of Louisiana, N.A.", "CharterNumber": "20879", "Company": "", "Individual": "Raymond Lapino", "Location": "Kenner, LA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "17000.00", "StartDate": "12/09/1991", "StartDocuments": [ "539" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-91-12", "SubjectMatters": [] }, { "Institution": "Bankers Trust Of Louisiana, N.A.", "CharterNumber": "20879", "Company": "", "Individual": "Myron Moorehead", "Location": "Kenner, LA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "17000.00", "StartDate": "12/09/1991", "StartDocuments": [ "539" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-91-14", "SubjectMatters": [] }, { "Institution": "Bankers Trust Of Louisiana, N.A.", "CharterNumber": "20879", "Company": "", "Individual": "Clifford Olsen", "Location": "Kenner, LA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "17000.00", "StartDate": "12/09/1991", "StartDocuments": [ "539" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-91-15", "SubjectMatters": [] }, { "Institution": "Bankers Trust Of Louisiana, N.A.", "CharterNumber": "20879", "Company": "", "Individual": "Irl Silverstein", "Location": "Kenner, LA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "6000.00", "StartDate": "12/09/1991", "StartDocuments": [ "539" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-91-10", "SubjectMatters": [] }, { "Institution": "Bankers Trust Of Louisiana, National Association", "CharterNumber": "20879", "Company": "", "Individual": "H.Allen Thomason", "Location": "Kenner, LA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "16000.00", "StartDate": "06/21/1991", "StartDocuments": [ "293" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Bankmeridian, National Association", "CharterNumber": "24625", "Company": "", "Individual": "", "Location": "Columbia, SC", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "09/16/2010", "StartDocuments": [ "2010-184" ], "TerminationDate": "07/29/2011", "TerminationDocuments": [], "DocketNumber": "AA-EC-10-94", "SubjectMatters": [] }, { "Institution": "Bankmeridian, National Association", "CharterNumber": "24625", "Company": "", "Individual": "", "Location": "Columbia, SC", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "01/22/2010", "StartDocuments": [ "2010-008" ], "TerminationDate": "09/16/2010", "TerminationDocuments": [ "2010-184" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Bankstar, National Association", "CharterNumber": "21431", "Company": "", "Individual": "", "Location": "Reston, VA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "02/06/1991", "StartDocuments": [ "197" ], "TerminationDate": "03/12/1991", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Banktexas National Association", "CharterNumber": "14236", "Company": "", "Individual": "", "Location": "Houston, TX", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "04/28/1992", "StartDocuments": [ "526" ], "TerminationDate": "03/31/1993", "TerminationDocuments": [ "93-109" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Barbary Coast National Bank", "CharterNumber": "21513", "Company": "", "Individual": "", "Location": "San Francisco, CA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "12/04/1992", "StartDocuments": [ "781" ], "TerminationDate": "05/19/1994", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Barbary Coast National Bank", "CharterNumber": "21513", "Company": "", "Individual": "", "Location": "San Francisco, CA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "03/24/1992", "StartDocuments": [ "486" ], "TerminationDate": "05/19/1994", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Barbary Coast National Bank", "CharterNumber": "21513", "Company": "", "Individual": "Patricia Collins-Lancaster", "Location": "San Francisco, CA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000.00", "StartDate": "01/04/1994", "StartDocuments": [ "93-336" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Barbary Coast National Bank", "CharterNumber": "21513", "Company": "", "Individual": "Stanley E. Pareto", "Location": "San Francisco, CA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "12/22/1993", "StartDocuments": [ "93-325" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Barbary Coast National Bank", "CharterNumber": "21513", "Company": "", "Individual": "Stanley E. Pareto", "Location": "San Francisco, CA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000.00", "StartDate": "12/22/1993", "StartDocuments": [ "93-325" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Barnett Bank, N.A.", "CharterNumber": "9049", "Company": "", "Individual": "Kaye G. Hill", "Location": "Jacksonville, FL", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "12/13/2000", "StartDocuments": [ "2000-128" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-00-24", "SubjectMatters": [] }, { "Institution": "Barnett Bank, N.A.", "CharterNumber": "9049", "Company": "", "Individual": "Courtney Leigh Miller", "Location": "Jacksonville, FL", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "01/29/2001", "StartDocuments": [ "2001-07" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-00-58", "SubjectMatters": [] }, { "Institution": "Barrington Bank & Trust Company, National Association", "CharterNumber": "23216", "Company": "", "Individual": "Stacy Folkers", "Location": "Barrington, IL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "05/22/2018", "StartDocuments": [ "2018-036" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2018-17", "SubjectMatters": [ "Breach of Fiduciary Duty", "Insider Issues", "Theft/Misappropriation of Customer Info" ] }, { "Institution": "Barrington Bank & Trust Company, National Association", "CharterNumber": "23216", "Company": "", "Individual": "Stacy Folkers", "Location": "Barrington, IL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "7500.00", "StartDate": "05/22/2018", "StartDocuments": [ "2018-036" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2018-17", "SubjectMatters": [ "Breach of Fiduciary Duty", "Insider Issues", "Theft/Misappropriation of Customer Info" ] }, { "Institution": "Barrington Bank & Trust Company, National Association", "CharterNumber": "23216", "Company": "", "Individual": "Nicholas Jurun", "Location": "Barrington, IL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "02/14/2024", "StartDocuments": [ "AA-ENF-2023-61" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2023-61", "SubjectMatters": [ "Breach of Fiduciary Duty", "Fraud/Forgery", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Lending Issues", "Other Lending Deficiencies" ] }, { "Institution": "Barrington Bank & Trust Company, National Association", "CharterNumber": "23216", "Company": "", "Individual": "Nicholas Jurun", "Location": "Barrington, IL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "30000.00", "StartDate": "02/14/2024", "StartDocuments": [ "AA-ENF-2023-61" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-ENF-2023-61", "SubjectMatters": [ "Breach of Fiduciary Duty", "Fraud/Forgery", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Lending Issues", "Other Lending Deficiencies" ] }, { "Institution": "Barrington Bank & Trust Company, National Association", "CharterNumber": "23216", "Company": "", "Individual": "Timothy Perry", "Location": "Barrington, IL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "06/02/2017", "StartDocuments": [ "2017-043" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2017-14", "SubjectMatters": [ "Breach of Fiduciary Duty", "Insider Issues", "Theft/Misappropriation of Customer Info", "Violation Cited (Other)" ] }, { "Institution": "Barrington Bank & Trust Company, National Association", "CharterNumber": "23216", "Company": "", "Individual": "Timothy Perry", "Location": "Barrington, IL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "8000.00", "StartDate": "06/02/2017", "StartDocuments": [ "2017-043" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2017-14", "SubjectMatters": [ "Breach of Fiduciary Duty", "Insider Issues", "Theft/Misappropriation of Customer Info", "Violation Cited (Other)" ] }, { "Institution": "Barrington Bank & Trust Company, National Association", "CharterNumber": "23216", "Company": "", "Individual": "Michael Shara", "Location": "Barrington, IL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "06/23/2020", "StartDocuments": [ "2020-031" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2020-041", "SubjectMatters": [ "Breach of Fiduciary Duty", "Insider Issues", "Theft/Misappropriation of Customer Info" ] }, { "Institution": "Barrington Bank & Trust Company, National Association", "CharterNumber": "23216", "Company": "", "Individual": "Michael Shara", "Location": "Barrington, IL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "06/23/2020", "StartDocuments": [ "2020-031" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2020-41", "SubjectMatters": [ "Breach of Fiduciary Duty", "Insider Issues", "Theft/Misappropriation of Customer Info" ] }, { "Institution": "Barrington Bank & Trust Company, National Association", "CharterNumber": "23216", "Company": "", "Individual": "Jeffrey Wettstein", "Location": "Barrington, IL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "06/23/2020", "StartDocuments": [ "2020-032" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2020-42", "SubjectMatters": [ "Breach of Fiduciary Duty", "Insider Issues", "Theft/Misappropriation of Customer Info" ] }, { "Institution": "Barrington Bank & Trust Company, National Association", "CharterNumber": "23216", "Company": "", "Individual": "Jeffrey Wettstein", "Location": "Barrington, IL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "06/23/2020", "StartDocuments": [ "2020-032" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2020-42", "SubjectMatters": [ "Breach of Fiduciary Duty", "Insider Issues", "Theft/Misappropriation of Customer Info" ] }, { "Institution": "Bath National Bank", "CharterNumber": "10235", "Company": "", "Individual": "", "Location": "Bath, NY", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "09/04/2003", "StartDocuments": [ "2003-114" ], "TerminationDate": "12/20/2005", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Bay Cities National Bank", "CharterNumber": "17366", "Company": "", "Individual": "Victoria P. Moreland", "Location": "Redondo Beach, CA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "05/05/2000", "StartDocuments": [ "2000-40" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Bay Cities National Bank", "CharterNumber": "22654", "Company": "", "Individual": "", "Location": "Redondo Beach, CA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "11/18/2009", "StartDocuments": [ "2009-215" ], "TerminationDate": "09/30/2010", "TerminationDocuments": [], "DocketNumber": "AA-EC-09-55", "SubjectMatters": [] }, { "Institution": "Bay National Bank", "CharterNumber": "23992", "Company": "", "Individual": "", "Location": "Baltimore, MD", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "02/06/2009", "StartDocuments": [ "2009-035" ], "TerminationDate": "07/09/2010", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Bay View Bank, National Association", "CharterNumber": "23770", "Company": "", "Individual": "Donald W. Hakes", "Location": "San Mateo, CA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3000.00", "StartDate": "04/10/2002", "StartDocuments": [ "2002-33" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Bay View Bank, National Association", "CharterNumber": "23770", "Company": "", "Individual": "", "Location": "San Mateo, CA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "09/06/2000", "StartDocuments": [ "2000-82" ], "TerminationDate": "09/30/2003", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Bay View Bank, National Association", "CharterNumber": "23770", "Company": "Bay View Franchise Mortgage Acceptance Corp.", "Individual": "Michael Saei", "Location": "San Mateo, CA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000.00", "StartDate": "04/10/2002", 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"Individual": "", "Location": "Lake Forest, IL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "04/17/2009", "StartDocuments": [ "2009-060" ], "TerminationDate": "03/27/2015", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "BC National Banks", "CharterNumber": "17100", "Company": "", "Individual": "", "Location": "Butler, MO", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "02/03/2009", "StartDocuments": [ "2009-013" ], "TerminationDate": "04/30/2010", "TerminationDocuments": [], "DocketNumber": "AA-EC-08-83", "SubjectMatters": [] }, { "Institution": "BCPBank, National Association", "CharterNumber": "23913", "Company": "", "Individual": "", "Location": "Newark, NJ", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": 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Bruce Kissel", "Location": "Strasburg, PA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "10/31/2012", "StartDocuments": [ "2012-239" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-12-68", "SubjectMatters": [ "Lending Issues", "Other Lending Deficiencies" ] }, { "Institution": "Blc Bank, National Association", "CharterNumber": "42", "Company": "", "Individual": "Curtis Kroesen", "Location": "Strasburg, PA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "05/30/2012", "StartDocuments": [ "2012-116" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-08-67", "SubjectMatters": [ "Breach of Fiduciary Duty", "Credit/Collateral Exceptions", "False Statements / Obstruction", "Fraud/Forgery", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Lending Issues", "Nominee Lending" ] }, { "Institution": "Blc Bank, National Association", "CharterNumber": "42", "Company": "", "Individual": "Misty (formerly Misty May) Kroesen", "Location": "Strasburg, PA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "05/30/2012", "StartDocuments": [ "2012-117" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Breach of Fiduciary Duty", "Credit/Collateral Exceptions", "False Statements / Obstruction", "Fraud/Forgery", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Lending Issues", "Nominee Lending", "Other Lending Deficiencies" ] }, { "Institution": "Blc Bank, National Association", "CharterNumber": "42", "Company": "", "Individual": "Michael Schlager", "Location": "Strasburg, PA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "02/17/2011", "StartDocuments": [ "2011-039" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-08-43", "SubjectMatters": [] }, { "Institution": "Blc Bank, National Association", "CharterNumber": "42", "Company": "", "Individual": "Mary Stankiewicz", "Location": "Strasburg, PA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "02/17/2011", "StartDocuments": [ "2011-040" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-08-65", "SubjectMatters": [] }, { "Institution": "Blue Grass FS & LA", "CharterNumber": "706361", "Company": "", "Individual": "", "Location": "Paris, KY", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "02/17/2016", "StartDocuments": [ "2016-021" ], "TerminationDate": "12/06/2017", "TerminationDocuments": [ "2017-107" ], "DocketNumber": "AA-CE-2016-21", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Asset Quality", "Board / Management Oversight", "Concentration Risk Management", "Credit/Collateral Exceptions", "Earnings", "Lending Issues" ] }, { "Institution": "Blue Ridge Bank, National Association", "CharterNumber": "23903", "Company": "", "Individual": "", "Location": "Martinsville, VA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "01/24/2024", "StartDocuments": [ "AA-ENF-2023-68" ], "TerminationDate": "11/13/2025", "TerminationDocuments": [ "AA-ENF-2025-58" ], "DocketNumber": "AA-ENF-2023-68", "SubjectMatters": [ "BSA Independent Testing/Audit", "BSA Internal Controls", "BSA Officer", "BSA Program Violation / 12 CFR 21.21", "BSA Risk Assessment", "BSA Violation Cited", "BSA/AML", "Capital", "Customer/Enhanced Due Diligence (CDD/EDD)", "General IT Controls", "Information Technology", "Liquidity", "OFAC Compliance Issue", "SAR/CTR Monitoring/Filing Issue", "Strategic Planning", "Third Party Risk Management" ] }, { "Institution": "Blue Ridge Bank, National Association", "CharterNumber": "23903", "Company": "", "Individual": "", "Location": "Martinsville, VA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "08/29/2022", "StartDocuments": [ "2022-043" ], "TerminationDate": "01/24/2024", "TerminationDocuments": [ "AA-ENF-2024-13" ], "DocketNumber": "AA-NE-2022-43", "SubjectMatters": [ "BSA Independent Testing/Audit", "BSA Internal Controls", "BSA Officer", "BSA Risk Assessment", "BSA/AML", "Customer/Enhanced Due Diligence (CDD/EDD)", "General IT Controls", "Information Technology", "SAR/CTR Monitoring/Filing Issue", "Third Party Risk Management" ] }, { "Institution": "BMO Harris Bank National Association", "CharterNumber": "14583", "Company": "", "Individual": "Jason C. Keith", "Location": "Chicago, IL", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "05/04/2012", "StartDocuments": [ "2012-115" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-12-47", "SubjectMatters": [ "Expense Abuse", "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "BMO Bank National Association", "CharterNumber": "14583", "Company": "", "Individual": "Marissa Murillo", "Location": "Chicago, IL", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "03/10/2026", "StartDocuments": [ "AA-ENF-2026-5" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2026-5", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "BMO Bank National Association", "CharterNumber": "14583", "Company": "", "Individual": "Requel Walker", "Location": "Chicago, IL", "TypeCode": "1829", "TypeDescription": "1829 Prohibition Notification", "Amount": "0.00", "StartDate": "05/14/2024", "StartDocuments": [ "2024-25" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Violation Cited (Criminal Statute)" ] }, { "Institution": "BMO Bank National Association", "CharterNumber": "14583", "Company": "", "Individual": "Terry Walker", "Location": "Chicago, IL", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "11/03/2023", "StartDocuments": [ "2023-037" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2023-34", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "BMO Bank National Association", "CharterNumber": "14583", "Company": "", "Individual": "Samantha Watters", "Location": "Chicago, IL", "TypeCode": "1829", "TypeDescription": "1829 Prohibition Notification", "Amount": "0.00", "StartDate": "12/17/2025", "StartDocuments": [ "2025-18" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Violation Cited (Criminal Statute)" ] }, { "Institution": "Bmo Harris Bank National Association", "CharterNumber": "14583", "Company": "", "Individual": "", "Location": "Chicago, IL", "TypeCode": "GLBA", "TypeDescription": "GLBA Agreement", "Amount": "0.00", "StartDate": "11/14/2013", "StartDocuments": [ "2013-201" ], "TerminationDate": "09/13/2016", "TerminationDocuments": [ "2016-093" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Bmo Harris Bank National Association", "CharterNumber": "14583", "Company": "", "Individual": "", "Location": "Chicago, IL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "04/29/2013", "StartDocuments": [ "2013-056" ], "TerminationDate": "01/13/2017", "TerminationDocuments": [ "2017-012" ], "DocketNumber": "", "SubjectMatters": [ "Board / Management Oversight", "BSA Internal Controls", "BSA Officer", "BSA Risk Assessment", "BSA/AML", "Customer/Enhanced Due Diligence (CDD/EDD)", "Information Technology", "SAR/CTR Monitoring/Filing Issue" ] }, { "Institution": "BNB Bank, National Association", "CharterNumber": "20622", "Company": "", "Individual": "", "Location": "Fort Lee, NJ", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "12/18/2009", "StartDocuments": [ "2009-241" ], "TerminationDate": "01/23/2015", "TerminationDocuments": [ "2015-018" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "BNB Hana Bank, National Association", "CharterNumber": "20622", "Company": "", "Individual": "", "Location": "Fort Lee, NJ", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "01/23/2015", "StartDocuments": [ "2015-018" ], "TerminationDate": "05/31/2022", "TerminationDocuments": [ "2022-014" ], "DocketNumber": "AA-NE-2015-12", "SubjectMatters": [ "Asset Quality", "Audit", "Board / Management Oversight", "Capital", "Credit/Collateral Exceptions", "Internal Audit", "Lending Issues", "Loan Review", "Other Lending Deficiencies", "Problem Loan Identification", "Strategic Planning" ] }, { "Institution": "Bnc National Bank", "CharterNumber": "22352", "Company": "", "Individual": "Debra Gronlie", "Location": "Bismarck, ND", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "06/06/2000", "StartDocuments": [ "2000-62" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Bnc National Bank", "CharterNumber": "22352", "Company": "", "Individual": "Debra Gronlie", "Location": "Bismarck, ND", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "06/06/2000", "StartDocuments": [ "2000-62" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-00-02", "SubjectMatters": [] }, { "Institution": "Bnc National Bank", "CharterNumber": "22352", "Company": "", "Individual": "Debra Gronlie", "Location": "Bismarck, ND", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "473400.00", "StartDate": "06/06/2000", "StartDocuments": [ "2000-62" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "BNC National Bank", "CharterNumber": "24224", "Company": "", "Individual": "", "Location": "Phoenix, AZ", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "01/26/2010", "StartDocuments": [ "2010-021" ], "TerminationDate": "11/28/2011", "TerminationDocuments": [ "2011-172" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Boatmen's National Bank Of Des Moines", "CharterNumber": "13321", "Company": "", "Individual": "", "Location": "Des Moines, IA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000.00", "StartDate": "01/15/1992", "StartDocuments": [ "976" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "BOKF, National Association", "CharterNumber": "13679", "Company": "", "Individual": "Mary Patricia Campbell", "Location": "Tulsa, OK", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "06/20/2018", "StartDocuments": [ "2018-045" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2018-23", "SubjectMatters": [ "Securities Activities", "Trading & Securities", "Trust Activities" ] }, { "Institution": "BOKF, National Association", "CharterNumber": "13679", "Company": "", "Individual": "Mary Patricia Campbell", "Location": "Tulsa, OK", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2500.00", "StartDate": "06/20/2018", "StartDocuments": [ "2018-045" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2018-23", "SubjectMatters": [ "Securities Activities", "Trading & Securities", "Trust Activities" ] }, { "Institution": "BOKF, National Association", "CharterNumber": "13679", "Company": "", "Individual": "Randall Ditzer", "Location": "Tulsa, OK", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "06/04/2024", "StartDocuments": [ "AA-ENF-2024-50" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2024-50", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "BOKF, National Association", "CharterNumber": "13679", "Company": "", "Individual": "William Garrow", "Location": "Tulsa, OK", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "05/16/2025", "StartDocuments": [ "AA-SO-2025-28" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-SO-2025-28", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "Bokf, National Association", "CharterNumber": "13679", "Company": "", "Individual": "Deidre Katschke", "Location": "Tulsa, OK", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "07/08/2024", "StartDocuments": [ "AA-ENF-2024-60" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2024-60", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "Bokf, National Association", "CharterNumber": "13679", "Company": "", "Individual": "Marrien Neilson", "Location": "Tulsa, OK", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "02/16/2017", "StartDocuments": [ "2017-017" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-CE-2017-1", "SubjectMatters": [ "Breach of Fiduciary Duty", "Trust Activities" ] }, { "Institution": "Bokf, National Association", "CharterNumber": "13679", "Company": "", "Individual": "Marrien Neilson", "Location": "Tulsa, OK", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "02/16/2017", "StartDocuments": [ "2017-017" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2017-1", "SubjectMatters": [ "Breach of Fiduciary Duty", "Trust Activities" ] }, { "Institution": "BOKF, National Association", "CharterNumber": "13679", "Company": "", "Individual": "William Olsen", "Location": "Tulsa, OK", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "01/28/2019", "StartDocuments": [ "2019-002" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2018-63", "SubjectMatters": [ "Breach of Fiduciary Duty", "False Statements / Obstruction", "Trust Activities" ] }, { "Institution": "BOKF, National Association", "CharterNumber": "13679", "Company": "", "Individual": "William Olsen", "Location": "Tulsa, OK", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "20000.00", "StartDate": "01/28/2019", "StartDocuments": [ "2019-002" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2018-63", "SubjectMatters": [ "Breach of Fiduciary Duty", "False Statements / Obstruction", "Trust Activities" ] }, { "Institution": "BOKF, National Association", "CharterNumber": "13679", "Company": "", "Individual": "Terri Lynn Pulley", "Location": "Tulsa, OK", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "06/20/2018", "StartDocuments": [ "2018-046" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2018-24", "SubjectMatters": [ "Securities Activities", "Trading & Securities", "Trust Activities" ] }, { "Institution": "BOKF, National Association", "CharterNumber": "13679", "Company": "", "Individual": "Terri Lynn Pulley", "Location": "Tulsa, OK", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2500.00", "StartDate": "06/20/2018", "StartDocuments": [ "2018-046" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2018-24", "SubjectMatters": [ "Securities Activities", "Trading & Securities", "Trust Activities" ] }, { "Institution": "Bokf, National Association", "CharterNumber": "13679", "Company": "", "Individual": "Ryann Thomas", "Location": "Tulsa, OK", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "01/08/2014", "StartDocuments": [ "2014-005" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-13-96", "SubjectMatters": [ "Insider Issues", "Theft/Misappropriation of Customer Info", "Violation Cited (Other)" ] }, { "Institution": "BOKF, National Association", "CharterNumber": "13679", "Company": "", "Individual": "Cyndi Sue Wilkinson", "Location": "Tulsa, OK", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "06/20/2018", "StartDocuments": [ "2018-047" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2018-22", "SubjectMatters": [ "Breach of Fiduciary Duty", "Securities Activities", "Trading & Securities", "Trust Activities" ] }, { "Institution": "BOKF, National Association", "CharterNumber": "13679", "Company": "", "Individual": "Cyndi Sue Wilkinson", "Location": "Tulsa, OK", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "25000.00", "StartDate": "06/20/2018", "StartDocuments": [ "2018-047" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2018-22", "SubjectMatters": [ "Breach of Fiduciary Duty", "Securities Activities", "Trading & Securities", "Trust Activities" ] }, { "Institution": "Border Capital Bank, National Association", "CharterNumber": "18068", "Company": "", "Individual": "", "Location": "McAllen, TX", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "06/23/2011", "StartDocuments": [ "2011-116" ], "TerminationDate": "03/20/2013", "TerminationDocuments": [ "2013-038" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Border Capital Bank, National Association", "CharterNumber": "18068", "Company": "", "Individual": "", "Location": "McAllen, TX", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "06/26/2008", "StartDocuments": [ "2008-087" ], "TerminationDate": "06/23/2011", "TerminationDocuments": [ "2011-128" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Borrego Springs Bank, National Association", "CharterNumber": "23162", "Company": "", "Individual": "", "Location": "Borrego Springs, CA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "06/15/2012", "StartDocuments": [ "2012-134" ], "TerminationDate": "02/28/2013", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Asset Quality", "Capital", "Compensation", "Concentration Risk Management", "Credit/Collateral Exceptions", "Insider Issues", "Lending Issues", "Liquidity", "Loan Review", "OREO", "Other Lending Deficiencies", "Problem Loan Identification", "Strategic Planning" ] }, { "Institution": "Borrego Springs Bank, National Association", "CharterNumber": "23162", "Company": "", "Individual": "", "Location": "Borrego Springs, CA", "TypeCode": "Notice", "TypeDescription": "Notice of Charges", "Amount": "0.00", "StartDate": "01/12/2012", 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"Other Lending Deficiencies" ] }, { "Institution": "Boulevard Bank, N.A.", "CharterNumber": "13672", "Company": "", "Individual": "", "Location": "Chicago, IL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "04/24/1991", "StartDocuments": [ "247" ], "TerminationDate": "05/12/1992", "TerminationDocuments": [ "632" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Brazos Valley Bank, National Association", "CharterNumber": "24457", "Company": "", "Individual": "", "Location": "College Station, TX", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "05/27/2010", "StartDocuments": [ "2010-131" ], "TerminationDate": "04/13/2012", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Bremer Bank, N.A.", "CharterNumber": "23204", "Company": "", "Individual": "", "Location": "Moorhead, MN", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "11/12/1999", "StartDocuments": [ "99-115" ], "TerminationDate": "05/23/2001", "TerminationDocuments": [ "2001-131" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Bremer Bank, N.A.", "CharterNumber": "23288", "Company": "", "Individual": "", "Location": "Detroit Lakes, MN", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "11/12/1999", "StartDocuments": [ "99-115" ], "TerminationDate": "05/23/2001", "TerminationDocuments": [ "2001-131" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Bremer Bank, N.A.", "CharterNumber": "2567", "Company": "", "Individual": "", "Location": "Crookston, MN", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "12/10/1998", "StartDocuments": [ "98-86" ], "TerminationDate": "08/01/2000", "TerminationDocuments": [ "2000-139" ], "DocketNumber": "AA-EC-96-14", "SubjectMatters": [] }, { "Institution": "Bremer Bank, National Association", "CharterNumber": "23285", "Company": "", "Individual": "", "Location": "Alexandria, MN", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "11/18/1999", "StartDocuments": [ "99-80" ], "TerminationDate": "11/15/2000", "TerminationDocuments": [ "2000-140" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Bremer Bank, National Association", "CharterNumber": "23287", "Company": "", "Individual": "", "Location": "Breckenridge, MN", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "11/18/1999", "StartDocuments": [ "99-80" ], "TerminationDate": "11/15/2000", "TerminationDocuments": [ "2000-140" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Brenham National Bank", "CharterNumber": "13678", "Company": "", "Individual": "", "Location": "Brenham, TX", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "08/19/1992", "StartDocuments": [ "681" ], "TerminationDate": "06/13/1994", "TerminationDocuments": [ "94-249" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Bridgeview Bank, National Association", "CharterNumber": "17076", "Company": "", "Individual": "Sidney R. 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Cortellesi", "Location": "New York, NY", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000.00", "StartDate": "01/06/1994", "StartDocuments": [ "94-7" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Centrust Bank, National Association", "CharterNumber": "24617", "Company": "", "Individual": "", "Location": "Northbrook, IL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "07/25/2012", "StartDocuments": [ "2012-158" ], "TerminationDate": "04/10/2017", "TerminationDocuments": [ "2017-040" ], "DocketNumber": "AE-EC-12-80", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Appraisals", "Asset Quality", "Board / Management Oversight", "Capital", "Concentration Risk Management", "Credit/Collateral Exceptions", "Lending Issues", "Loan Review", "Other Lending Deficiencies", "Problem Loan Identification", "Strategic Planning" ] }, { "Institution": "Centrust Bank, National Association", "CharterNumber": "24617", "Company": "", "Individual": "", "Location": "Northbrook, IL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "11/17/2009", "StartDocuments": [ "2009-197" ], "TerminationDate": "04/20/2011", "TerminationDocuments": [ "2011-075" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Centrust Bank, National Association", "CharterNumber": "24617", "Company": "", "Individual": "", "Location": "Northbrook, IL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "06/16/2009", "StartDocuments": [ "2009-089" ], "TerminationDate": "04/20/2011", "TerminationDocuments": [ "2011-075" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Centrust Bank, National Association", "CharterNumber": "24617", "Company": "", "Individual": "Chester Ward", "Location": "Northbrook, IL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "09/19/2016", "StartDocuments": [ "2016-083" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2016-59", "SubjectMatters": [ "Insider Issues", "Lending Issues", "Other Lending Deficiencies" ] }, { "Institution": "Centrust Bank, National Association", "CharterNumber": "24617", "Company": "", "Individual": "Ruben Ybarra", "Location": "Northbrook, IL", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "01/22/2013", "StartDocuments": [ "2013-113" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-12-139", "SubjectMatters": [ "Breach of Fiduciary Duty", "Fraud/Forgery", "Insider Issues", "Legal Lending Limit", "Lending Issues", "Loans to Insiders (incl. Reg O)", "Nominee Lending", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Centrust Bank, National Association", "CharterNumber": "24617", "Company": "", "Individual": "Ruben Ybarra", "Location": "Northbrook, IL", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "25000.00", "StartDate": "01/22/2013", "StartDocuments": [ "2013-113" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Breach of Fiduciary Duty", "Fraud/Forgery", "Insider Issues", "Legal Lending Limit", "Lending Issues", "Loans to Insiders (incl. Reg O)", "Nominee Lending", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Century National Bank Of Oklahoma", "CharterNumber": "17610", "Company": "", "Individual": "", "Location": "Pryor, OK", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "02/03/1993", "StartDocuments": [ "93-24" ], "TerminationDate": "11/04/1993", "TerminationDocuments": [ "93-298" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Century National Bank of Oklahoma", "CharterNumber": "17610", "Company": "", "Individual": "", "Location": "Pryor, OK", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "12/08/2005", "StartDocuments": [ "2005-174" ], "TerminationDate": "08/24/2007", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Certusbank, National Association", "CharterNumber": "24975", "Company": "", "Individual": "", "Location": "Greenville, SC", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "11/06/2014", "StartDocuments": [ "2014-140" ], "TerminationDate": "11/02/2015", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Affiliate Transactions (incl. Reg W)", "Allowance for Losses (ALLL / ACL)", "Asset Quality", "Audit", "Board / Management Oversight", "Capital", "Credit/Collateral Exceptions", "Earnings", "Enterprise Governance / Internal Controls / General Risk Management", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Internal Audit", "Lending Issues", "Liquidity", "Loan Review", "Loans to Insiders (incl. Reg O)", "Other Lending Deficiencies", "Problem Loan Identification", "Strategic Planning" ] }, { "Institution": "Certusbank, National Association", "CharterNumber": "24975", "Company": "", "Individual": "Walter Davis", "Location": "Greenville, SC", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "01/03/2017", "StartDocuments": [ "2017-005" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2016-87", "SubjectMatters": [ "Breach of Fiduciary Duty", "Expense Abuse", "Insider Issues", "Third Party Risk Management", "Violation Cited (Other)" ] }, { "Institution": "Certusbank, National Association", "CharterNumber": "24975", "Company": "", "Individual": "Walter Davis", "Location": "Greenville, SC", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "25000.00", "StartDate": "01/03/2017", "StartDocuments": [ "2017-005" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2016-87", "SubjectMatters": [ "Breach of Fiduciary Duty", "Expense Abuse", "Insider Issues", "Third Party Risk Management", "Violation Cited (Other)" ] }, { "Institution": "Certusbank, National Association", "CharterNumber": "24975", "Company": "", "Individual": "Milton Jones", "Location": "Greenville, SC", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "01/03/2017", "StartDocuments": [ "2017-006" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2016-88", "SubjectMatters": [ "Breach of Fiduciary Duty", "Insider Issues", "Third Party Risk Management", "Violation Cited (Other)" ] }, { "Institution": "Certusbank, National Association", "CharterNumber": "24975", "Company": "", "Individual": "Milton Jones", "Location": "Greenville, SC", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3500.00", "StartDate": "01/03/2017", "StartDocuments": [ "2017-006" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2016-88", "SubjectMatters": [ "Breach of Fiduciary Duty", "Insider Issues", "Third Party Risk Management", "Violation Cited (Other)" ] }, { "Institution": "Certusbank, National Association", "CharterNumber": "24975", "Company": "", "Individual": "Kathy Angela Webb", "Location": "Greenville, SC", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "01/03/2017", "StartDocuments": [ "2017-007" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2016-86", "SubjectMatters": [ "Breach of Fiduciary Duty", "Expense Abuse", "Insider Issues", "Lending Issues", "Loans to Insiders (incl. Reg O)", "Third Party Risk Management", "Violation Cited (Other)" ] }, { "Institution": "Certusbank, National Association", "CharterNumber": "24975", "Company": "", "Individual": "Kathy Angela Webb", "Location": "Greenville, SC", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "27000.00", "StartDate": "01/03/2017", "StartDocuments": [ "2017-007" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2016-86", "SubjectMatters": [ "Breach of Fiduciary Duty", "Expense Abuse", "Insider Issues", "Lending Issues", "Loans to Insiders (incl. Reg O)", "Third Party Risk Management", "Violation Cited (Other)" ] }, { "Institution": "Certusbank, National Association", "CharterNumber": "24975", "Company": "", "Individual": "Charles Williams", "Location": "Greenville, SC", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "01/03/2017", "StartDocuments": [ "2017-009" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2016-89", "SubjectMatters": [ "Insider Issues", "Lending Issues", "Loans to Insiders (incl. Reg O)", "Third Party Risk Management", "Violation Cited (Other)" ] }, { "Institution": "CFBank", "CharterNumber": "701260", "Company": "", "Individual": "", "Location": "Fairlawn, OH", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "05/25/2011", "StartDocuments": [ "CN 11-14" ], "TerminationDate": "01/23/2014", "TerminationDocuments": [ "2014-010" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Cfsbank", "CharterNumber": "703866", "Company": "", "Individual": "", "Location": "Charleroi, PA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "03/12/2019", "StartDocuments": [ "2019-011" ], "TerminationDate": "06/25/2021", "TerminationDocuments": [ "2021-029" ], "DocketNumber": "AA-NEDO-2019-16", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Appraisals", "Asset Quality", "Audit", "Board / Management Oversight", "BSA Officer", "BSA/AML", "Enterprise Governance / Internal Controls / General Risk Management", "Internal Audit", "Lending Issues", "Loan Review", "Loans to Insiders (incl. Reg O)", "Other Lending Deficiencies", "Overdrafts", "Problem Loan Identification", "Strategic Planning" ] }, { "Institution": "Cfsbank", "CharterNumber": "703866", "Company": "", "Individual": "Neil Bassi", "Location": "Charleroi, PA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "11/29/2021", "StartDocuments": [ "2021-052" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2020-85", "SubjectMatters": [] }, { "Institution": "Cfsbank", "CharterNumber": "703866", "Company": "", "Individual": "Neil Bassi", "Location": "Charleroi, PA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "15000.00", "StartDate": "11/29/2021", "StartDocuments": [ "2021-052" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-ENF-2020-85", "SubjectMatters": [] }, { "Institution": "Cfsbank", "CharterNumber": "703866", "Company": "", "Individual": "Neil Bassi", "Location": "Charleroi, PA", "TypeCode": "Notice", "TypeDescription": "Notice of Charges", "Amount": "0.00", "StartDate": "12/17/2020", "StartDocuments": [ "N20-009" ], "TerminationDate": "11/29/2021", "TerminationDocuments": [ "2021-052", "AA-ENF-2020-85T" ], "DocketNumber": "AA-ENF-2020-85", "SubjectMatters": [ "Breach of Fiduciary Duty", "Credit/Collateral Exceptions", "Lending Issues", "Overdrafts" ] }, { "Institution": "Cfsbank", "CharterNumber": "703866", "Company": "", "Individual": "David Galloni", "Location": "Charleroi, PA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "10/13/2020", "StartDocuments": [ "2020-064" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2020-62", "SubjectMatters": [ "Breach of Fiduciary Duty", "Lending Issues", "Other Lending Deficiencies", "Overdrafts" ] }, { "Institution": "Cfsbank", "CharterNumber": "703866", "Company": "", "Individual": "David Galloni", "Location": "Charleroi, PA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "12000.00", "StartDate": "10/13/2020", "StartDocuments": [ "2020-064" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-ENF-2020-62", "SubjectMatters": [ "Breach of Fiduciary Duty", "Lending Issues", "Other Lending Deficiencies", "Overdrafts" ] }, { "Institution": "Chancery National Bank", "CharterNumber": "18153", "Company": "", "Individual": "Richard O. 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"Civil Money Penalty (CMP)", "Amount": "350000000.00", "StartDate": "01/07/2014", "StartDocuments": [ "2014-001" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2013-109", "SubjectMatters": [ "BSA Independent Testing/Audit", "BSA Internal Controls", "BSA Program Violation / 12 CFR 21.21", "BSA Risk Assessment", "BSA SAR Violation / 12 CFR 21.11 or 163.180", "BSA Violation Cited", "BSA/AML", "Customer/Enhanced Due Diligence (CDD/EDD)", "OFAC Compliance Issue", "SAR/CTR Monitoring/Filing Issue" ] }, { "Institution": "Chase Bank USA, National Association", "CharterNumber": "23160", "Company": "", "Individual": "", "Location": "Wilmington, DE", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "09/18/2013", "StartDocuments": [ "2013-138" ], "TerminationDate": "09/07/2017", "TerminationDocuments": [ "2017-085" ], "DocketNumber": "AA-EC-13-76", "SubjectMatters": 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"11/14/1990", "StartDocuments": [ "132" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-90-51; AA-EC-90-52", "SubjectMatters": [] }, { "Institution": "City National Bank", "CharterNumber": "16910", "Company": "", "Individual": "Edwin Brown II", "Location": "Kilgore, TX", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "11/14/1990", "StartDocuments": [ "132" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-90-53; AA-EC-90-54", "SubjectMatters": [] }, { "Institution": "City National Bank", "CharterNumber": "16910", "Company": "", "Individual": "Edwin Brown II", "Location": "Kilgore, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "15000.00", "StartDate": "11/14/1990", "StartDocuments": [ "132" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-90-53; AA-EC-90-54", "SubjectMatters": [] }, { 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"TypeDescription": "Civil Money Penalty (CMP)", "Amount": "14000.00", "StartDate": "08/27/2020", "StartDocuments": [ "2020-042" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2020-24", "SubjectMatters": [ "Board / Management Oversight", "BSA Program Violation / 12 CFR 21.21", "BSA SAR Violation / 12 CFR 21.11 or 163.180", "BSA Violation Cited", "BSA/AML", "Customer/Enhanced Due Diligence (CDD/EDD)", "Noncompliance with Enforcement Action", "SAR/CTR Monitoring/Filing Issue" ] }, { "Institution": "City National Bank of New Jersey", "CharterNumber": "16142", "Company": "", "Individual": "Alfonso Carney", "Location": "Newark, NJ", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "14000.00", "StartDate": "09/15/2020", "StartDocuments": [ "2020-061" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2020-025", "SubjectMatters": [ "Board / Management Oversight", "BSA Program Violation / 12 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"16142", "Company": "", "Individual": "Karen Highsmith", "Location": "Newark, NJ", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "6000.00", "StartDate": "08/27/2020", "StartDocuments": [ "2020-043" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2020-21", "SubjectMatters": [ "Breach of Fiduciary Duty", "BSA Program Violation / 12 CFR 21.21", "BSA SAR Violation / 12 CFR 21.11 or 163.180", "BSA Violation Cited", "BSA/AML", "Customer/Enhanced Due Diligence (CDD/EDD)", "SAR/CTR Monitoring/Filing Issue" ] }, { "Institution": "City National Bank of New Jersey", "CharterNumber": "16142", "Company": "", "Individual": "Michael Hopson", "Location": "Newark, NJ", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "14000.00", "StartDate": "08/27/2020", "StartDocuments": [ "2020-044" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2020-26", "SubjectMatters": [ 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"CharterNumber": "16142", "Company": "", "Individual": "David Monegro", "Location": "Newark, NJ", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "25000.00", "StartDate": "10/13/2020", "StartDocuments": [ "2020-062" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2020-19", "SubjectMatters": [ "Breach of Fiduciary Duty", "BSA Program Violation / 12 CFR 21.21", "BSA SAR Violation / 12 CFR 21.11 or 163.180", "BSA Violation Cited", "BSA/AML", "Customer/Enhanced Due Diligence (CDD/EDD)", "Insider Issues", "SAR/CTR Monitoring/Filing Issue" ] }, { "Institution": "City National Bank of New Jersey", "CharterNumber": "16142", "Company": "", "Individual": "Preston D. 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"2001-82" ], "TerminationDate": "05/15/2002", "TerminationDocuments": [ "2002-42" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "City National Bank Of West Virginia", "CharterNumber": "14807", "Company": "", "Individual": "", "Location": "Charleston, WV", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "06/14/2000", "StartDocuments": [ "2000-66" ], "TerminationDate": "09/26/2001", "TerminationDocuments": [ "2001-82" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "City National Bank of West Virginia", "CharterNumber": "14807", "Company": "", "Individual": "Robin Gatens", "Location": "Charleston, WV", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "06/15/2009", "StartDocuments": [ "2009-100" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-09-30", "SubjectMatters": [] }, { "Institution": "City National Bank of West Virginia", "CharterNumber": "14807", "Company": "", "Individual": "Regina Mobley", "Location": "Charleston, WV", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "06/15/2009", "StartDocuments": [ "2009-101" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-09-31", "SubjectMatters": [] }, { "Institution": "City National Bank of West Virginia", "CharterNumber": "14807", "Company": "", "Individual": "Susan Scior", "Location": "Charleston, WV", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "07/05/2011", "StartDocuments": [ "2011-112" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-11-59", "SubjectMatters": [] }, { "Institution": "Clare Bank, National Association", "CharterNumber": "15649", "Company": "", "Individual": "Colleen Clare", "Location": "Platteville, WI", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty 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Penalty (CMP)", "Amount": "5000.00", "StartDate": "11/03/2016", "StartDocuments": [ "2016-106" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-CE-2016-78", "SubjectMatters": [ "Breach of Fiduciary Duty", "Inaccurate / Incomplete / False Books and Records" ] }, { "Institution": "Clare Bank, National Association", "CharterNumber": "15649", "Company": "", "Individual": "Timothy Clare", "Location": "Platteville, WI", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "11/03/2016", "StartDocuments": [ "2016-107" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-CE-2016-80", "SubjectMatters": [ "Breach of Fiduciary Duty", "Inaccurate / Incomplete / False Books and Records" ] }, { "Institution": "Clare Bank, National Association", "CharterNumber": "15649", "Company": "", "Individual": "Kelly Cowlin", "Location": "Platteville, WI", "TypeCode": "CMP", "TypeDescription": "Civil 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"485970.00", "StartDate": "04/04/2011", "StartDocuments": [ "2011-083" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-08-69", "SubjectMatters": [] }, { "Institution": "Community West Bank, National Association", "CharterNumber": "21699", "Company": "", "Individual": "", "Location": "Goleta, CA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "01/26/2012", "StartDocuments": [ "2012-018" ], "TerminationDate": "01/27/2014", "TerminationDocuments": [ "2014-007" ], "DocketNumber": "AA-EC-12-16", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Asset Quality", "Board / Management Oversight", "Capital", "Credit/Collateral Exceptions", "Inaccurate / Incomplete / False Books and Records", "Lending Issues", "Liquidity", "Loan Review", "OREO", "Problem Loan Identification", "Strategic Planning" ] }, { "Institution": "Communitybank of Texas, National Association", "CharterNumber": "12898", "Company": "", "Individual": "", "Location": "Beaumont, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1000000.00", "StartDate": "12/16/2021", "StartDocuments": [ "2021-054" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-SO-2021-49", "SubjectMatters": [ "BSA Internal Controls", "BSA Pillar Violation / 12 CFR 21.21(d)", "BSA SAR Violation / 12 CFR 21.11 or 163.180", "BSA Violation Cited", "BSA/AML", "SAR/CTR Monitoring/Filing Issue" ] }, { "Institution": "Communitybank of Texas, National Association", "CharterNumber": "12898", "Company": "", "Individual": "", "Location": "Beaumont, TX", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "06/18/2020", "StartDocuments": [ "2020-039" ], "TerminationDate": "09/07/2021", "TerminationDocuments": [ "2021-041" ], "DocketNumber": "AA-SO-2020-40", "SubjectMatters": [ "BSA Independent Testing/Audit", "BSA Internal Controls", "BSA Officer", "BSA Pillar Violation / 12 CFR 21.21(d)", "BSA Risk Assessment", "BSA Training", "BSA Violation Cited", "BSA/AML", "Customer/Enhanced Due Diligence (CDD/EDD)", "SAR/CTR Monitoring/Filing Issue" ] }, { "Institution": "Communityone Bank, National Association", "CharterNumber": "8953", "Company": "", "Individual": "", "Location": "Asheboro, NC", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "07/22/2010", "StartDocuments": [ "2010-163" ], "TerminationDate": "06/10/2013", "TerminationDocuments": [ "2013-085" ], "DocketNumber": "AA-EC-10-69", "SubjectMatters": [] }, { "Institution": "Communityone Bank, National Association", "CharterNumber": "8953", "Company": "", "Individual": "Vincent F. Bateman", "Location": "Asheboro, NC", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "02/06/2014", "StartDocuments": [ "2014-014" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2013-110", "SubjectMatters": [ "Breach of Fiduciary Duty", "Credit/Collateral Exceptions", "Fraud/Forgery", "Insider Issues", "Lending Issues", "Other Lending Deficiencies", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Compubank, National Association", "CharterNumber": "23187", "Company": "", "Individual": "", "Location": "Houston, TX", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "01/31/2001", "StartDocuments": [ "2001-117" ], "TerminationDate": "06/29/2002", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Connecticut Community Bank, National Association", "CharterNumber": "23664", "Company": "", "Individual": "", "Location": "Westport, CT", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "07/27/2009", "StartDocuments": [ "2009-123" ], "TerminationDate": "02/14/2019", "TerminationDocuments": [ "2019-006" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Consolidated Bank, N.A.", "CharterNumber": "15067", "Company": "", "Individual": "", "Location": "Hialeah, FL", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "143517.21", "StartDate": "06/08/1995", "StartDocuments": [ "95-28" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-94-21", "SubjectMatters": [] }, { "Institution": "Consolidated Bank, National Association", "CharterNumber": "15067", "Company": "", "Individual": "", "Location": "Hialeah, FL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "08/15/1994", "StartDocuments": [ "94-189" ], "TerminationDate": "11/10/1994", "TerminationDocuments": [ "94-275" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Consumer National Bank", "CharterNumber": "16500", "Company": "", "Individual": "", "Location": "Jackson, MS", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "10/28/1992", "StartDocuments": [ "760" ], "TerminationDate": "12/16/1994", "TerminationDocuments": [ "94-201" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Consumer National Bank", "CharterNumber": "16500", "Company": "", "Individual": "", "Location": "Jackson, MS", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "10/29/1991", "StartDocuments": [ "429" ], "TerminationDate": "10/28/1992", "TerminationDocuments": [ "93-58" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Consumers National Bank", "CharterNumber": "15543", "Company": "", "Individual": "", "Location": "Minerva, OH", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3000.00", "StartDate": "01/16/1991", "StartDocuments": [ "1033" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-91-04", "SubjectMatters": [] }, { "Institution": "Continental Bank", "CharterNumber": "717996", "Company": "", "Individual": "", "Location": "Plymouth Meeting, PA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "02/28/2011", "StartDocuments": [ "NE 11-11" ], "TerminationDate": "10/23/2013", "TerminationDocuments": [ "2013-173" ], "DocketNumber": "AA-NE-2013-85", "SubjectMatters": [] }, { "Institution": "Continental Bank, National Association", "CharterNumber": "13639", "Company": "", "Individual": "", "Location": "Chicago, IL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "100000.00", "StartDate": "01/17/1992", "StartDocuments": [ "978" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-SCP-92-04", "SubjectMatters": [] }, { "Institution": "Continental Bank, National Association", "CharterNumber": "13639", "Company": "", "Individual": "", "Location": "Chicago, IL", "TypeCode": "SEC", "TypeDescription": "Securities Enforcement Action", "Amount": "0.00", "StartDate": "01/17/1992", "StartDocuments": [ "978" ], "TerminationDate": "06/29/1994", "TerminationDocuments": [], "DocketNumber": "AA-SCP-92-04", "SubjectMatters": [] }, { "Institution": "Continental National Bank", "CharterNumber": "16381", "Company": "", "Individual": "", "Location": "El Paso, TX", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "01/22/1992", "StartDocuments": [ "440" ], "TerminationDate": "04/10/1997", "TerminationDocuments": [ "97-60" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Continental National Bank", "CharterNumber": "16325", "Company": "", "Individual": "", "Location": "Miami, FL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2100.00", "StartDate": "07/17/1990", "StartDocuments": [ "103" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-90-114", "SubjectMatters": [] }, { "Institution": "Continental National Bank", "CharterNumber": "16325", "Company": "", "Individual": "", "Location": "Miami, FL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "07/18/2017", "StartDocuments": [ "2017-051" ], "TerminationDate": "10/24/2019", "TerminationDocuments": [], "DocketNumber": "AA-SO-2017-28", "SubjectMatters": [ "BSA Independent Testing/Audit", "BSA Internal Controls", "BSA Officer", "BSA Program 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"775" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Continental National Bank Of Miami", "CharterNumber": "16325", "Company": "", "Individual": "Cesar Camacho", "Location": "Miami, FL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2500.00", "StartDate": "06/04/1993", "StartDocuments": [ "93-210" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-SE-93-01", "SubjectMatters": [] }, { "Institution": "Continental National Bank Of Miami", "CharterNumber": "16325", "Company": "", "Individual": "Aldo Coronel", "Location": "Miami, FL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "500.00", "StartDate": "06/04/1993", "StartDocuments": [ "93-207" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-SE-93-01", "SubjectMatters": [] }, { "Institution": "Continental National Bank Of Miami", "CharterNumber": "16325", "Company": "", "Individual": "Charles Dascal", "Location": "Miami, FL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000.00", "StartDate": "06/04/1993", "StartDocuments": [ "93-209" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-SE-93-01", "SubjectMatters": [] }, { "Institution": "Continental National Bank Of Miami", "CharterNumber": "16325", "Company": "", "Individual": "Victor Lopez De Mendoza", "Location": "Miami, FL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "4000.00", "StartDate": "07/27/1993", "StartDocuments": [ "93-208" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-SE-93-01", "SubjectMatters": [] }, { "Institution": "Continental National Bank Of Miami", "CharterNumber": "16325", "Company": "", "Individual": "Ramon Mestre", "Location": "Miami, FL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "500.00", "StartDate": "07/16/1993", "StartDocuments": [ "93-212" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-SE-93-01", "SubjectMatters": [] }, { "Institution": "Continental National Bank Of Miami", "CharterNumber": "16325", "Company": "", "Individual": "Jose R. 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"", "Individual": "", "Location": "North Miami Beach, FL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "11/22/1991", "StartDocuments": [ "407" ], "TerminationDate": "08/08/1994", "TerminationDocuments": [ "94-133" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Credicard National Bank", "CharterNumber": "23401", "Company": "", "Individual": "", "Location": "Tucson, AZ", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "04/28/2009", "StartDocuments": [ "2009-082" ], "TerminationDate": "01/23/2012", "TerminationDocuments": [ "2012-045" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Credit Suisse NY Br (Federal)", "CharterNumber": "80146", "Company": "", "Individual": "", "Location": "New York, NY", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "05/29/2024", "StartDocuments": [ "AA-ENF-2024-53" ], "TerminationDate": "05/30/2025", 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"10254", "Company": "", "Individual": "", "Location": "East Bernstadt, KY", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "10/22/2001", "StartDocuments": [ "2001-88" ], "TerminationDate": "12/22/2004", "TerminationDocuments": [ "2004-149" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Dallas Capital Bank, National Association", "CharterNumber": "15980", "Company": "", "Individual": "Xenia Chagoya", "Location": "Dallas, TX", "TypeCode": "1829", "TypeDescription": "1829 Prohibition Notification", "Amount": "0.00", "StartDate": "02/06/2026", "StartDocuments": [ "2026-05" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Violation Cited (Criminal Statute)" ] }, { "Institution": "Dana Niguel Bank, N.A.", "CharterNumber": "17546", "Company": "", "Individual": "Charles W. 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Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "02/12/2002", "StartDocuments": [ "2002-15" ], "TerminationDate": "02/24/2004", "TerminationDocuments": [ "2004-128" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Delta National Bank", "CharterNumber": "16154", "Company": "", "Individual": "Andrew Rossi", "Location": "Manteca, CA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "08/01/2003", "StartDocuments": [ "2003-80" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Delta National Bank", "CharterNumber": "16154", "Company": "", "Individual": "Andrew Rossi", "Location": "Manteca, CA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "100000.00", "StartDate": "08/01/2003", "StartDocuments": [ "2003-80" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], 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"Location": "Sioux Falls, SD", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "07/20/2015", "StartDocuments": [ "2015-078" ], "TerminationDate": "11/20/2018", "TerminationDocuments": [ "2018-097" ], "DocketNumber": "AA-EC-2015-52", "SubjectMatters": [ "Compliance Risk Management", "Consumer Law", "Third Party Risk Management", "Unfair or Deceptive (UDAP)" ] }, { "Institution": "Department Stores National Bank", "CharterNumber": "24622", "Company": "", "Individual": "", "Location": "Sioux Falls, SD", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "0.00", "StartDate": "07/20/2015", "StartDocuments": [ "2015-079" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2015-53", "SubjectMatters": [ "Consumer Law", "Unfair or Deceptive (UDAP)" ] }, { "Institution": "Department Stores National Bank", "CharterNumber": "24622", "Company": 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"TypeDescription": "Securities Enforcement Action", "Amount": "0.00", "StartDate": "01/17/1992", "StartDocuments": [ "986" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-SCP-92-04", "SubjectMatters": [] }, { "Institution": "Deposit Guaranty National Bank", "CharterNumber": "15548", "Company": "", "Individual": "Donna K. 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"TerminationDate": "10/21/2014", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Diamond Bank, FSB", "CharterNumber": "703627", "Company": "", "Individual": "", "Location": "Schaumburg, IL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "09/24/2010", "StartDocuments": [ "CN 10-033" ], "TerminationDate": "10/21/2014", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Dieterich Bank, National Association", "CharterNumber": "9582", "Company": "", "Individual": "", "Location": "Dieterich, IL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "12/16/2015", "StartDocuments": [ "2015-141" ], "TerminationDate": "06/22/2017", "TerminationDocuments": [ "2017-050" ], "DocketNumber": "AA-CE-2015-96", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Appraisals", 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"TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-93-114", "SubjectMatters": [] }, { "Institution": "Farmers National Bank Of Forney", "CharterNumber": "9369", "Company": "", "Individual": "George Karlen", "Location": "Forney, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1000.00", "StartDate": "12/01/1993", "StartDocuments": [ "93-282" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-93-113", "SubjectMatters": [] }, { "Institution": "Farmers National Bank Of Griggsville", "CharterNumber": "14466", "Company": "", "Individual": "", "Location": "Griggsville, IL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "11/13/1991", "StartDocuments": [ "408" ], "TerminationDate": "07/28/1993", "TerminationDocuments": [ "93-224" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Farmers National Bank of Scottsville, The", 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"Formal Agreement", "Amount": "0.00", "StartDate": "06/09/2009", "StartDocuments": [ "2009-085" ], "TerminationDate": "10/27/2010", "TerminationDocuments": [ "2010-209" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Fidelity Bank of Florida, National Association", "CharterNumber": "24496", "Company": "", "Individual": "James Guldi", "Location": "Merritt Island, FL", "TypeCode": "Notice", "TypeDescription": "Notice of Charges", "Amount": "0.00", "StartDate": "12/01/2015", "StartDocuments": [ "N15-002" ], "TerminationDate": "07/26/2016", "TerminationDocuments": [ "2016-121" ], "DocketNumber": "AA-EC-15-62", "SubjectMatters": [ "Breach of Fiduciary Duty", "Insider Issues", "Lending Issues", "Loans to Insiders (incl. 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"StartDocuments": [ "94-126" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-94-23", "SubjectMatters": [] }, { "Institution": "First Charter Bank N.A.", "CharterNumber": "17731", "Company": "", "Individual": "Isaac Salzberg", "Location": "Beverly Hills, CA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1000.00", "StartDate": "07/22/1994", "StartDocuments": [ "94-127" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-94-23", "SubjectMatters": [] }, { "Institution": "First Charter Bank N.A.", "CharterNumber": "17731", "Company": "", "Individual": "Jack Salzberg", "Location": "Beverly Hills, CA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1000.00", "StartDate": "07/22/1994", "StartDocuments": [ "94-128" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-94-23", "SubjectMatters": [] }, { "Institution": "First 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"Amount": "0.00", "StartDate": "09/17/2008", "StartDocuments": [ "2008-117" ], "TerminationDate": "11/09/2010", "TerminationDocuments": [ "2010-223" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First Citizens Bank of Polson, National Association", "CharterNumber": "24670", "Company": "", "Individual": "David Doepke", "Location": "Polson, MT", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2000.00", "StartDate": "12/13/2018", "StartDocuments": [ "2018-098" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2018-74", "SubjectMatters": [ "Inaccurate / Incomplete / False Books and Records", "Noncompliance with Enforcement Action" ] }, { "Institution": "First Citizens Bank of Polson, National Association", "CharterNumber": "24670", "Company": "", "Individual": "Catherine Francis", "Location": "Polson, MT", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2000.00", "StartDate": "12/13/2018", "StartDocuments": [ "2018-099" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2018-75", "SubjectMatters": [ "Inaccurate / Incomplete / False Books and Records", "Noncompliance with Enforcement Action" ] }, { "Institution": "First Citizens Bank of Polson, National Association", "CharterNumber": "24670", "Company": "", "Individual": "Jolanda Ingram", "Location": "Polson, MT", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2000.00", "StartDate": "12/13/2018", "StartDocuments": [ "2018-100" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2018-76", "SubjectMatters": [ "Inaccurate / Incomplete / False Books and Records", "Noncompliance with Enforcement Action" ] }, { "Institution": "First Citizens Bank of Polson, National Association", "CharterNumber": "24670", "Company": "", "Individual": "Richard Pedersen", "Location": "Polson, MT", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2000.00", "StartDate": "12/13/2018", "StartDocuments": [ "2018-101" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2018-77", "SubjectMatters": [ "Inaccurate / Incomplete / False Books and Records", "Noncompliance with Enforcement Action" ] }, { "Institution": "First Citizens Bank of Polson, National Association", "CharterNumber": "24670", "Company": "", "Individual": "Rick Skates", "Location": "Polson, MT", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000.00", "StartDate": "12/13/2018", "StartDocuments": [ "2018-102" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2018-72", "SubjectMatters": [ "Inaccurate / Incomplete / False Books and Records", "Noncompliance with Enforcement Action" ] }, { "Institution": "First Citizens Bank of Polson, National Association", "CharterNumber": "24670", "Company": "", "Individual": 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"TerminationDate": "10/24/2014", "TerminationDocuments": [ "2014-151" ], "DocketNumber": "AA-WE-12-19", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Appraisals", "Asset Quality", "Audit", "Board / Management Oversight", "Capital", "Credit/Collateral Exceptions", "Internal Audit", "Lending Issues", "Loan Review", "OREO", "Other Lending Deficiencies", "Problem Loan Identification", "Strategic Planning" ] }, { "Institution": "First FS&LA of Independence", "CharterNumber": "700391", "Company": "", "Individual": "", "Location": "Independence, KS", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "09/16/2010", "StartDocuments": [ "SA" ], "TerminationDate": "03/01/2012", "TerminationDocuments": [ "2012-083" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First FS&LA of Olathe", "CharterNumber": "702004", "Company": "", "Individual": "Dale Mitch Ashlock", "Location": "Olathe, KS", "TypeCode": "CMP", "TypeDescription": "Civil 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"N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First National Bank", "CharterNumber": "18479", "Company": "", "Individual": "Walter C. \"Charlie\" Cleveland", "Location": "Lubbock, TX", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "08/17/2005", "StartDocuments": [ "2005-121" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-04-47", "SubjectMatters": [] }, { "Institution": "First National Bank", "CharterNumber": "18479", "Company": "", "Individual": "Walter C. \"Charlie\" Cleveland", "Location": "Lubbock, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "50000.00", "StartDate": "06/20/2005", "StartDocuments": [ "2005-79" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-04-47", "SubjectMatters": [] }, { "Institution": "First National Bank", "CharterNumber": "22852", 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"Other Lending Deficiencies", "Violation Cited (Criminal Statute)" ] }, { "Institution": "First National Bank", "CharterNumber": "14124", "Company": "", "Individual": "Robert Gandy", "Location": "Edinburg, TX", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "10/25/2017", "StartDocuments": [ "2017-088" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2017-46", "SubjectMatters": [ "Breach of Fiduciary Duty", "Capital", "Inaccurate / Incomplete / False Books and Records", "Lending Issues", "Loans to Insiders (incl. Reg O)", "Noncompliance with Enforcement Action", "OREO", "Other Lending Deficiencies" ] }, { "Institution": "First National Bank", "CharterNumber": "14124", "Company": "", "Individual": "Robert Gandy", "Location": "Edinburg, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "75000.00", "StartDate": "10/25/2017", "StartDocuments": [ "2017-088" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2017-46", "SubjectMatters": [ "Breach of Fiduciary Duty", "Capital", "Inaccurate / Incomplete / False Books and Records", "Lending Issues", "Loans to Insiders (incl. Reg O)", "Noncompliance with Enforcement Action", "OREO", "Other Lending Deficiencies" ] }, { "Institution": "First National Bank", "CharterNumber": "14124", "Company": "", "Individual": "Oscar Garza", "Location": "Edinburg, TX", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "10/02/2017", "StartDocuments": [ "2017-076" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2017-50", "SubjectMatters": [ "Breach of Fiduciary Duty", "Capital", "Inaccurate / Incomplete / False Books and Records", "Lending Issues", "Noncompliance with Enforcement Action", "OREO", "Other Lending Deficiencies" ] }, { "Institution": "First National Bank", "CharterNumber": "14124", "Company": "", "Individual": "Oscar Garza", "Location": "Edinburg, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "10/02/2017", "StartDocuments": [ "2017-076" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2017-50", "SubjectMatters": [ "Breach of Fiduciary Duty", "Capital", "Inaccurate / Incomplete / False Books and Records", "Lending Issues", "Noncompliance with Enforcement Action", "OREO", "Other Lending Deficiencies" ] }, { "Institution": "First National Bank", "CharterNumber": "14124", "Company": "", "Individual": "Arcadio Guerra", "Location": "Edinburg, TX", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "10/02/2017", "StartDocuments": [ "2017-077" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2017-48", "SubjectMatters": [ "Breach of Fiduciary Duty", "Capital", "Inaccurate / Incomplete / False Books and Records", "Lending Issues", "Noncompliance with Enforcement Action", "OREO", "Other Lending Deficiencies" ] }, { "Institution": "First National Bank", "CharterNumber": "14124", "Company": "", "Individual": "Arcadio Guerra", "Location": "Edinburg, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "10/02/2017", "StartDocuments": [ "2017-077" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2017-48", "SubjectMatters": [ "Breach of Fiduciary Duty", "Capital", "Inaccurate / Incomplete / False Books and Records", "Lending Issues", "Noncompliance with Enforcement Action", "OREO", "Other Lending Deficiencies" ] }, { "Institution": "First National Bank", "CharterNumber": "6813", "Company": "", "Individual": "Lorraine Hahn", "Location": "Bagley, MN", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "04/29/2020", "StartDocuments": [ "2020-023" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2020-29", "SubjectMatters": [ "Breach of Fiduciary Duty", "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "First National Bank", "CharterNumber": "6813", "Company": "", "Individual": "Lorraine Hahn", "Location": "Bagley, MN", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "15000.00", "StartDate": "04/29/2020", "StartDocuments": [ "2020-023" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2020-29", "SubjectMatters": [ "Breach of Fiduciary Duty", "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "First National Bank", "CharterNumber": "18479", "Company": "", "Individual": "Darrell Hobgood", "Location": "Lubbock, TX", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "09/28/2004", "StartDocuments": [ "2004-110" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-04-48", "SubjectMatters": [] }, { "Institution": "First National Bank", "CharterNumber": "18479", "Company": "", "Individual": "Darrell Hobgood", "Location": "Lubbock, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "15000.00", "StartDate": "09/28/2004", "StartDocuments": [ "2004-110" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First National Bank", "CharterNumber": "18479", "Company": "", "Individual": "Robert C. Hobgood", "Location": "Lubbock, TX", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "02/18/2005", "StartDocuments": [ "2005-33" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-04-45", "SubjectMatters": [] }, { "Institution": "First National Bank", "CharterNumber": "18479", "Company": "", "Individual": "Robert C. Hobgood", "Location": "Lubbock, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "20000.00", "StartDate": "02/18/2005", "StartDocuments": [ "2005-33" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-04-45", "SubjectMatters": [] }, { "Institution": "First National Bank", "CharterNumber": "18479", "Company": "", "Individual": "Robert C. Hobgood", "Location": "Lubbock, TX", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "50000.00", "StartDate": "02/18/2005", "StartDocuments": [ "2005-33" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-04-45", "SubjectMatters": [] }, { "Institution": "First National Bank", "CharterNumber": "18479", "Company": "", "Individual": "Robert C. Hobgood", "Location": "Lubbock, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2000.00", "StartDate": "03/17/2003", "StartDocuments": [ "2003-26" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First National Bank", "CharterNumber": "18479", "Company": "", "Individual": "Kathy Hughes", "Location": "Lubbock, TX", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "05/20/2004", "StartDocuments": [ "2004-68" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First National Bank", "CharterNumber": "18479", "Company": "", "Individual": "Kathy Hughes", "Location": "Lubbock, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "25000.00", "StartDate": "05/20/2004", "StartDocuments": [ "2004-68" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-04-46", "SubjectMatters": [] }, { "Institution": "First National Bank", "CharterNumber": "8205", "Company": "", "Individual": "Renea S. Johnson", "Location": "Julesburg, CO", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "03/20/2007", "StartDocuments": [ "2007-023" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-06-117", "SubjectMatters": [] }, { "Institution": "First National Bank", "CharterNumber": "8205", "Company": "", "Individual": "Renea S. Johnson", "Location": "Julesburg, CO", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000.00", "StartDate": "03/20/2007", "StartDocuments": [ "2007-023" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-06-117", "SubjectMatters": [] }, { "Institution": "First National Bank", "CharterNumber": "15851", "Company": "", "Individual": "Robert Johnston", "Location": "Rosedale, MS", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "08/08/2012", "StartDocuments": [ "2012-197" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-12-89", "SubjectMatters": [ "Inaccurate / Incomplete / False Books and Records" ] }, { "Institution": "First National Bank", "CharterNumber": "10230", "Company": "", "Individual": "Lindy Jordan", "Location": "Paducah, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "05/15/2009", "StartDocuments": [ "2009-064" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-SO-09-28", "SubjectMatters": [] }, { "Institution": "First National Bank", "CharterNumber": "14124", "Company": "", "Individual": "Eduardo Leal", "Location": "Edinburg, TX", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "10/25/2017", "StartDocuments": [ "2017-089" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2017-52", "SubjectMatters": [ "Inaccurate / Incomplete / False Books and Records", "Noncompliance with Enforcement Action" ] }, { "Institution": "First National Bank", "CharterNumber": "14124", "Company": "", "Individual": "Eduardo Leal", "Location": "Edinburg, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3000.00", "StartDate": "10/25/2017", "StartDocuments": [ "2017-089" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2017-52", "SubjectMatters": [ "Inaccurate / Incomplete / False Books and Records", "Noncompliance with Enforcement Action" ] }, { "Institution": "First National Bank", "CharterNumber": "18339", "Company": "", "Individual": "Alan Lemaster", "Location": "Sidney, NE", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "09/01/2006", "StartDocuments": [ "2006-95" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-06-75", "SubjectMatters": [] }, { "Institution": "First National Bank", "CharterNumber": "22852", "Company": "", "Individual": "Stephen Michael Little", "Location": "Savannah, GA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "06/12/2014", "StartDocuments": [ "2014-095" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2014-18", "SubjectMatters": [ "Breach of Fiduciary Duty", "Fraud/Forgery", "Insider Issues", "Lending Issues", "Other Lending Deficiencies", "Violation Cited (Criminal Statute)" ] }, { "Institution": "First National Bank", "CharterNumber": "14163", "Company": "", "Individual": "Lawrence McCants", "Location": "Goodland, KS", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "06/03/2013", "StartDocuments": [ "2013-058" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2012-144", "SubjectMatters": [ "Affiliate Transactions (incl. Reg W)", "Breach of Fiduciary Duty", "Inaccurate / Incomplete / False Books and Records", "Lending Issues", "Loans to Insiders (incl. Reg O)" ] }, { "Institution": "First National Bank", "CharterNumber": "14163", "Company": "", "Individual": "Lawrence McCants", "Location": "Goodland, KS", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "30000.00", "StartDate": "06/03/2013", "StartDocuments": [ "2013-058" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2012-144", "SubjectMatters": [ "Affiliate Transactions (incl. Reg W)", "Breach of Fiduciary Duty", "Inaccurate / Incomplete / False Books and Records", "Lending Issues", "Loans to Insiders (incl. Reg O)" ] }, { "Institution": "First National Bank", "CharterNumber": "14124", "Company": "", "Individual": "Michael McCarthy", "Location": "Edinburg, TX", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "10/25/2017", "StartDocuments": [ "2017-090" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2017-47", "SubjectMatters": [ "Breach of Fiduciary Duty", "Capital", "Inaccurate / Incomplete / False Books and Records", "Lending Issues", "Noncompliance with Enforcement Action", "OREO", "Other Lending Deficiencies" ] }, { "Institution": "First National Bank", "CharterNumber": "14124", "Company": "", "Individual": "Michael McCarthy", "Location": "Edinburg, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "125000.00", "StartDate": "10/25/2017", "StartDocuments": [ "2017-090" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2017-47", "SubjectMatters": [ "Breach of Fiduciary Duty", "Capital", "Inaccurate / Incomplete / False Books and Records", "Lending Issues", "Noncompliance with Enforcement Action", "OREO", "Other Lending Deficiencies" ] }, { "Institution": "First National Bank", "CharterNumber": "15851", "Company": "", "Individual": "Henry McCaslin", "Location": "Rosedale, MS", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "08/29/2012", "StartDocuments": [ "2012-219" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-12-86", "SubjectMatters": [ "Insider Issues", "Lending Issues", "Loans to Insiders (incl. Reg O)", "Other Lending Deficiencies" ] }, { "Institution": "First National Bank", "CharterNumber": "15851", "Company": "", "Individual": "Henry McCaslin", "Location": "Rosedale, MS", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "02/06/2012", "StartDocuments": [ "2012-006" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-11-109", "SubjectMatters": [ "Breach of Fiduciary Duty", "Expense Abuse", "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "First National Bank", "CharterNumber": "15851", "Company": "", "Individual": "Henry McCaslin", "Location": "Rosedale, MS", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3000.00", "StartDate": "05/05/1994", "StartDocuments": [ "94-88" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First National Bank", "CharterNumber": "15851", "Company": "", "Individual": "Henry McCaslin", "Location": "Rosedale, MS", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1000.00", "StartDate": "07/08/1991", "StartDocuments": [ "334" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First National Bank", "CharterNumber": "15851", "Company": "", "Individual": "Henry McCaslin", "Location": "Rosedale, MS", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1000.00", "StartDate": "07/08/1991", "StartDocuments": [ "369" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First National Bank", "CharterNumber": "11968", "Company": "", "Individual": "Michael McClellan", "Location": "Hays, KS", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3000.00", "StartDate": "02/07/2012", "StartDocuments": [ "2012-032" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-WE-12-17", "SubjectMatters": [ "Noncompliance with Enforcement Action" ] }, { "Institution": "First National Bank", "CharterNumber": "14124", "Company": "", "Individual": "Jack McClelland", "Location": "Edinburg, TX", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "10/02/2017", "StartDocuments": [ "2017-078" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2017-49", "SubjectMatters": [ "Breach of Fiduciary Duty", "Capital", "Inaccurate / Incomplete / False Books and Records", "Lending Issues", "Noncompliance with Enforcement Action", "OREO", "Other Lending Deficiencies" ] }, { "Institution": "First National Bank", "CharterNumber": "14124", "Company": "", "Individual": "Jack McClelland", "Location": "Edinburg, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "10/02/2017", "StartDocuments": [ "2017-078" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2017-49", "SubjectMatters": [ "Breach of Fiduciary Duty", "Capital", "Inaccurate / Incomplete / False Books and Records", "Lending Issues", "Noncompliance with Enforcement Action", "OREO", "Other Lending Deficiencies" ] }, { "Institution": "First National Bank", "CharterNumber": "15851", "Company": "", "Individual": "Kris McHardy", "Location": "Rosedale, MS", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "08/03/2012", "StartDocuments": [ "2012-200" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-12-85", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Breach of Fiduciary Duty", "False Statements / Obstruction", "Fraud/Forgery", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Lending Issues", "Nominee Lending" ] }, { "Institution": "First National Bank", "CharterNumber": "22852", "Company": "", "Individual": "Heys Edward McMath", "Location": "Savannah, GA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "08/20/2014", "StartDocuments": [ "2014-119" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2014-14", "SubjectMatters": [ "Breach of Fiduciary Duty", "False Statements / Obstruction", "Fraud/Forgery", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "First National Bank", "CharterNumber": "21709", "Company": "", "Individual": "David Moffat", "Location": "St. Marys, GA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "40000.00", "StartDate": "08/21/2007", "StartDocuments": [ "2007-095" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-07-25", "SubjectMatters": [] }, { "Institution": "First National Bank", "CharterNumber": "21709", "Company": "", "Individual": "David Moffat", "Location": "St. Marys, GA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "08/14/2006", "StartDocuments": [ "2006-94" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-06-70", "SubjectMatters": [] }, { "Institution": "First National Bank", "CharterNumber": "18479", "Company": "", "Individual": "Kim Morris", "Location": "Lubbock, TX", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "09/03/2004", "StartDocuments": [ "2004-111" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First National Bank", "CharterNumber": "18479", "Company": "", "Individual": "Kim Morris", "Location": "Lubbock, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "18000.00", "StartDate": "09/03/2004", "StartDocuments": [ "2004-111" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-04-49", "SubjectMatters": [] }, { "Institution": "First National Bank", "CharterNumber": "17365", "Company": "", "Individual": "Teresa Scott Moyers", "Location": "Denver City, TX", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "07/30/2003", "StartDocuments": [ "2003-94" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First National Bank", "CharterNumber": "22852", "Company": "", "Individual": "Isaac Jefferson Mulling", "Location": "Savannah, GA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "06/12/2014", "StartDocuments": [ "2014-096" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2014-18", "SubjectMatters": [ "Breach of Fiduciary Duty", "Fraud/Forgery", "Insider Issues", "Lending Issues", "Other Lending Deficiencies", "Violation Cited (Criminal Statute)" ] }, { "Institution": "First National Bank", "CharterNumber": "14124", "Company": "", "Individual": "Saul Ortega", "Location": "Edinburg, TX", "TypeCode": "Notice", "TypeDescription": "Notice of Charges", "Amount": "0.00", "StartDate": "09/25/2017", "StartDocuments": [ "N17-003" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2017-44", "SubjectMatters": [ "Breach of Fiduciary Duty", "Capital", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Lending Issues", "Noncompliance with Enforcement Action", "OREO", "Other Lending Deficiencies" ] }, { "Institution": "First National Bank", "CharterNumber": "21610", "Company": "", "Individual": "Archie G. Overby", "Location": "Waupaca, WI", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "03/24/2017", "StartDocuments": [ "2017-029" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2016-27", "SubjectMatters": [] }, { "Institution": "First National Bank", "CharterNumber": "21610", "Company": "", "Individual": "Archie G. Overby", "Location": "Waupaca, WI", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "03/24/2017", "StartDocuments": [ "2017-029" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2016-27", "SubjectMatters": [] }, { "Institution": "First National Bank", "CharterNumber": "21610", "Company": "", "Individual": "Archie G. Overby", "Location": "Waupaca, WI", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "100000.00", "StartDate": "03/24/2017", "StartDocuments": [ "2017-029" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2016-27", "SubjectMatters": [] }, { "Institution": "First National Bank", "CharterNumber": "21610", "Company": "", "Individual": "Archie G. Overby", "Location": "Waupaca, WI", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "1600000.00", "StartDate": "03/24/2017", "StartDocuments": [ "2017-029" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2016-27", "SubjectMatters": [] }, { "Institution": "First National Bank", "CharterNumber": "23182", "Company": "", "Individual": "Archie G. Overby", "Location": "Rotan, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "09/20/2016", "StartDocuments": [ "2016-090" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-SO-2016-28", "SubjectMatters": [ "Breach of Fiduciary Duty", "Insider Issues", "Legal Lending Limit", "Lending Issues", "Loans to Insiders (incl. Reg O)" ] }, { "Institution": "First National Bank", "CharterNumber": "21610", "Company": "", "Individual": "Archie G. Overby", "Location": "Waupaca, WI", "TypeCode": "Notice", "TypeDescription": "Notice of Charges", "Amount": "0.00", "StartDate": "06/30/2016", "StartDocuments": [ "N16-002" ], "TerminationDate": "03/24/2017", "TerminationDocuments": [ "2017-029", "AA-EC-2016-27T" ], "DocketNumber": "AA-EC-2016-27", "SubjectMatters": [ "Breach of Fiduciary Duty", "Compensation", "Expense Abuse", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "First National Bank", "CharterNumber": "11968", "Company": "", "Individual": "Kathlene Perrigo", "Location": "Hays, KS", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1000.00", "StartDate": "02/01/2012", "StartDocuments": [ "2012-033" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-WE-12-17", "SubjectMatters": [ "Noncompliance with Enforcement Action" ] }, { "Institution": "First National Bank", "CharterNumber": "14124", "Company": "", "Individual": "David Rogers", "Location": "Edinburg, TX", "TypeCode": "Notice", "TypeDescription": "Notice of Charges", "Amount": "0.00", "StartDate": "09/25/2017", "StartDocuments": [ "N17-003" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2017-45", "SubjectMatters": [ "Breach of Fiduciary Duty", "Capital", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Lending Issues", "Noncompliance with Enforcement Action", "OREO", "Other Lending Deficiencies" ] }, { "Institution": "First National Bank", "CharterNumber": "11968", "Company": "", "Individual": "Randy Schmidtberger", "Location": "Hays, KS", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "7500.00", "StartDate": "02/07/2012", "StartDocuments": [ "2012-034" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-WE-12-17", "SubjectMatters": [ "Lending Issues", "Noncompliance with Enforcement Action" ] }, { "Institution": "First National Bank", "CharterNumber": "11968", "Company": "", "Individual": "Alan States", "Location": "Hays, KS", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "7500.00", "StartDate": "02/07/2012", "StartDocuments": [ "2012-035" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-WE-12-17", "SubjectMatters": [ "Noncompliance with Enforcement Action" ] }, { "Institution": "First National Bank", "CharterNumber": "11968", "Company": "", "Individual": "Carolyn States", "Location": "Hays, KS", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3000.00", "StartDate": "02/07/2012", "StartDocuments": [ "2012-036" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-WE-12-17", "SubjectMatters": [ "Noncompliance with Enforcement Action" ] }, { "Institution": "First National Bank", "CharterNumber": "21610", "Company": "", "Individual": "Sylvia Thoe", "Location": "Waupaca, WI", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "06/21/2017", "StartDocuments": [ "2017-047" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2017-25", "SubjectMatters": [ "Breach of Fiduciary Duty", "Compensation", "Expense Abuse", "Insider Issues" ] }, { "Institution": "First National Bank", "CharterNumber": "14163", "Company": "", "Individual": "Dwane Timm", "Location": "Goodland, KS", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "05/06/2013", "StartDocuments": [ "2013-059" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2012-143", "SubjectMatters": [ "Affiliate Transactions (incl. 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Trice", "Location": "Rosedale, MS", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "08/09/2012", "StartDocuments": [ "2012-198" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-12-90", "SubjectMatters": [ "Inaccurate / Incomplete / False Books and Records" ] }, { "Institution": "First National Bank", "CharterNumber": "17365", "Company": "", "Individual": "Deborah Jean Winfrey", "Location": "Denver City, TX", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "07/30/2003", "StartDocuments": [ "2003-95" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First National Bank", "CharterNumber": "15851", "Company": "", "Individual": "Bennie Wright", "Location": "Rosedale, MS", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "08/08/2012", "StartDocuments": [ "2012-199" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-12-91", "SubjectMatters": [ "Inaccurate / Incomplete / False Books and Records" ] }, { "Institution": "First National Bank & Trust", "CharterNumber": "14519", "Company": "", "Individual": "", "Location": "Kokomo, IN", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "09/02/2003", "StartDocuments": [ "2003-103" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First National Bank & Trust Co. of Williston", "CharterNumber": "14275", "Company": "", "Individual": "Shirley Axtman", "Location": "Williston, ND", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "12/20/2018", "StartDocuments": [ "2018-108" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-CE-2018-94", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "First National Bank & Trust Company", "CharterNumber": "5401", "Company": "", "Individual": "", "Location": "Nowata, OK", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "05/17/2001", "StartDocuments": [ "2001-59" ], "TerminationDate": "06/19/2002", "TerminationDocuments": [ "2002-67" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First National Bank & Trust Company", "CharterNumber": "5401", "Company": "", "Individual": "", "Location": "Nowata, OK", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "04/19/2000", "StartDocuments": [ "2000-38" ], "TerminationDate": "06/19/2002", "TerminationDocuments": [ "2002-67" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First National Bank & Trust Company", "CharterNumber": "1926", "Company": "", "Individual": "", "Location": "Clinton, IL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "07/16/2025", "StartDocuments": [ "AA-CE-2025-30" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-CE-2025-30", "SubjectMatters": [ "Affiliate Transactions (incl. Reg W)", "Board / Management Oversight", "Capital", "Earnings", "Enterprise Governance / Internal Controls / General Risk Management", "Liquidity", "Strategic Planning" ] }, { "Institution": "First National Bank & Trust Company in Larned", "CharterNumber": "7125", "Company": "", "Individual": "", "Location": "Larned, KS", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "04/17/2008", "StartDocuments": [ "2008-033" ], "TerminationDate": "09/10/2010", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First National Bank & Trust Company in Larned", "CharterNumber": "7125", "Company": "", "Individual": "", "Location": "Larned, KS", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "04/09/2004", "StartDocuments": [ "2004-34" ], "TerminationDate": "03/15/2005", "TerminationDocuments": [ "2006-25" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First National Bank & Trust Of Pipestone", "CharterNumber": "3982", "Company": "", "Individual": "Michael R. Morgan", "Location": "Pipestone, MN", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "04/05/2001", "StartDocuments": [ "2001-28" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First National Bank & Trust Of Pipestone", "CharterNumber": "3982", "Company": "", "Individual": "Michael R. 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and Trust", "CharterNumber": "7890", "Company": "", "Individual": "", "Location": "London, KY", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "06/11/2004", "StartDocuments": [ "2004-73" ], "TerminationDate": "10/10/2007", "TerminationDocuments": [ "2007-129" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First National Bank and Trust", "CharterNumber": "3601", "Company": "", "Individual": "", "Location": "Phillipsburg, KS", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "06/07/2004", "StartDocuments": [ "2004-72" ], "TerminationDate": "05/22/2006", "TerminationDocuments": [ "2006-68" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First National Bank and Trust", "CharterNumber": "7890", "Company": "", "Individual": "Mark Adams", "Location": "London, KY", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2000.00", "StartDate": "12/27/2006", "StartDocuments": [ "2006-153" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-CE-06-105", "SubjectMatters": [] }, { "Institution": "First National Bank and Trust", "CharterNumber": "7890", "Company": "", "Individual": "Charlie Benge", "Location": "London, KY", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2000.00", "StartDate": "12/27/2006", "StartDocuments": [ "2006-154" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-CE-06-106", "SubjectMatters": [] }, { "Institution": "First National Bank and Trust", "CharterNumber": "7890", "Company": "", "Individual": "Randell Brewer", "Location": "London, KY", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2000.00", "StartDate": "12/27/2006", "StartDocuments": [ "2006-155" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-CE-06-107", "SubjectMatters": [] }, { "Institution": "First National Bank and Trust", "CharterNumber": "3601", "Company": "", "Individual": "Katherine Culbertson", "Location": "Phillipsburg, KS", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2000.00", "StartDate": "06/11/2003", "StartDocuments": [ "2003-82" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First National Bank and Trust", "CharterNumber": "3601", "Company": "", "Individual": "Lloyd K. 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Prusia", "Location": "Torrington, WY", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000.00", "StartDate": "10/05/2010", "StartDocuments": [ "2010-215" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-10-103", "SubjectMatters": [] }, { "Institution": "First National Bankers Bank, Alabama", "CharterNumber": "24613", "Company": "", "Individual": "", "Location": "Homewood, AL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "03/24/2010", "StartDocuments": [ "2010-047" ], "TerminationDate": "03/31/2011", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First National Banking Company", "CharterNumber": "16173", "Company": "", "Individual": "", "Location": "Ash Flat, AR", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "06/26/2009", "StartDocuments": [ "2009-104" ], "TerminationDate": "06/21/2013", "TerminationDocuments": [ "2013-148" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First National Community Bank", "CharterNumber": "9868", "Company": "", "Individual": "", "Location": "Dunmore, PA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "500000.00", "StartDate": "02/27/2015", "StartDocuments": [ "2015-016" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [ "BSA SAR Violation / 12 CFR 21.11 or 163.180", "BSA Violation Cited", "BSA/AML", "SAR/CTR Monitoring/Filing Issue" ] }, { "Institution": "First National Community Bank", "CharterNumber": "9868", "Company": "", "Individual": "", "Location": "Dunmore, PA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "09/01/2010", "StartDocuments": [ "2010-182" ], "TerminationDate": "03/25/2015", "TerminationDocuments": [ "2015-032" ], "DocketNumber": "AA-EC-10-65", "SubjectMatters": [] }, { "Institution": "First National Community Bank", "CharterNumber": "11412", "Company": "", "Individual": "", "Location": "New Richmond, WI", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "08/25/2009", "StartDocuments": [ "2009-157" ], "TerminationDate": "05/13/2010", "TerminationDocuments": [ "2010-150" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First National Community Bank", "CharterNumber": "9868", "Company": "", "Individual": "Louis A. 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Cross", "Location": "Hermitage, PA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "04/28/2003", "StartDocuments": [ "2003-56" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First NB of Evant", "CharterNumber": "12739", "Company": "", "Individual": "", "Location": "Evant, TX", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "08/27/2003", "StartDocuments": [ "2003-174" ], "TerminationDate": "04/14/2006", "TerminationDocuments": [ "2006-57" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First NB of Gilmer", "CharterNumber": "5288", "Company": "", "Individual": "", "Location": "Gilmer, TX", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "05/21/2003", "StartDocuments": [ "2003-173" ], "TerminationDate": "04/26/2006", "TerminationDocuments": [ "2006-58" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First Nh Bank, N.A.", "CharterNumber": "1520", "Company": "", "Individual": "", "Location": "Manchester, NH", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "09/04/1991", "StartDocuments": [ "345" ], "TerminationDate": "06/01/1992", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First Niagara Bank, National Association", "CharterNumber": "24968", "Company": "", "Individual": "", "Location": "Buffalo, NY", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "09/06/2016", "StartDocuments": [ "2016-084" ], "TerminationDate": "10/07/2016", "TerminationDocuments": [], "DocketNumber": "AA-EC-2016-64", "SubjectMatters": [ "Consumer Law", "Lending Issues", "Overdrafts", "Unfair or Deceptive (UDAP)" ] }, { "Institution": "First Niagara Bank, National Association", "CharterNumber": "24968", "Company": "", "Individual": "", "Location": "Buffalo, NY", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2000000.00", "StartDate": "09/06/2016", "StartDocuments": [ "2016-089" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2016-65", "SubjectMatters": [ "Consumer Law", "Lending Issues", "Overdrafts", "Unfair or Deceptive (UDAP)" ] }, { "Institution": "First Niagara Bank, National Association", "CharterNumber": "24968", "Company": "", "Individual": "", "Location": "Buffalo, NY", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "See Order", "StartDate": "09/06/2016", "StartDocuments": [ "2016-084" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2016-64", "SubjectMatters": [ "Consumer Law", "Lending Issues", "Overdrafts", "Unfair or Deceptive (UDAP)" ] }, { "Institution": "First Niagara Bank, National Association", "CharterNumber": "24968", "Company": "", "Individual": "", "Location": "Buffalo, NY", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "43000.00", "StartDate": "07/25/2016", "StartDocuments": [ "2020-030" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-NE-2016-61", "SubjectMatters": [ "Consumer Law", "Flood Insurance" ] }, { "Institution": "First Niagara Bank, National Association", "CharterNumber": "24968", "Company": "", "Individual": "", "Location": "Buffalo, NY", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000.00", "StartDate": "10/26/2011", "StartDocuments": [ "2011-155" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First Niagara Bank, National Association", "CharterNumber": "24968", "Company": "", "Individual": "Lisa Moore", "Location": "Buffalo, NY", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "07/12/2019", "StartDocuments": [ "2019-040" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2019-26", "SubjectMatters": [ "Credit/Collateral Exceptions", "Fraud/Forgery", "Insider Issues", "Lending Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "First North American National Bank", "CharterNumber": "22196", "Company": "", "Individual": "Onyeacholem Moseri", "Location": "Kennesaw, GA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "25000.00", "StartDate": "03/30/2006", "StartDocuments": [ "2006-30" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First North American National Bank", "CharterNumber": "22196", "Company": "", "Individual": "Onyeacholem Moseri", "Location": "Kennesaw, GA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "03/23/2006", "StartDocuments": [ "2006-36" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First Of America Bank-Southeast Michigan,N.A.", "CharterNumber": "14925", "Company": "", "Individual": "William A. Schueler", "Location": "Detroit, MI", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "08/17/1995", "StartDocuments": [ "95-103" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-94-40 & 41", "SubjectMatters": [] }, { "Institution": "First Of America Bank-Southeast Michigan,N.A.", "CharterNumber": "14925", "Company": "", "Individual": "William A. Schueler", "Location": "Detroit, MI", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "08/17/1995", "StartDocuments": [ "95-103" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-94-40 & 41", "SubjectMatters": [] }, { "Institution": "First Pacific National Bank", "CharterNumber": "17280", "Company": "", "Individual": "", "Location": "Escondido, CA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "12/22/1992", "StartDocuments": [ "780" ], "TerminationDate": "12/20/1994", "TerminationDocuments": [ "94-210" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First Philson Bank, National Association", "CharterNumber": "5307", "Company": "", "Individual": "", "Location": "Berlin, PA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "10/13/1992", "StartDocuments": [ "728" ], "TerminationDate": "12/08/1994", "TerminationDocuments": [ "94-202" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First Place Bank", "CharterNumber": "714752", "Company": "", "Individual": "", "Location": "Warren, OH", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "06/09/2011", "StartDocuments": [ "CN 11-020" ], "TerminationDate": "01/28/2014", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First Place Bank", "CharterNumber": "714752", "Company": "", "Individual": "", "Location": "Warren, OH", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "03/01/2011", "StartDocuments": [ "SA" ], "TerminationDate": "07/13/2011", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First Place Bank", "CharterNumber": "714752", "Company": "", "Individual": "Albert P. Blank", "Location": "Warren, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "12/18/2015", "StartDocuments": [ "2015-139" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2015-75", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Breach of Fiduciary Duty", "Inaccurate / Incomplete / False Books and Records", "Lending Issues", "Other Lending Deficiencies", "Problem Loan Identification" ] }, { "Institution": "First Place Bank", "CharterNumber": "714752", "Company": "", "Individual": "Albert P. Blank", "Location": "Warren, OH", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "45000.00", "StartDate": "12/18/2015", "StartDocuments": [ "2015-139" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2015-75", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Breach of Fiduciary Duty", "Inaccurate / Incomplete / False Books and Records", "Lending Issues", "Other Lending Deficiencies", "Problem Loan Identification" ] }, { "Institution": "First Place Bank", "CharterNumber": "714752", "Company": "", "Individual": "Eric C. Diamond", "Location": "Warren, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "11/20/2013", "StartDocuments": [ "2013-198" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2013-89", "SubjectMatters": [ "Breach of Fiduciary Duty", "Fraud/Forgery", "Insider Issues" ] }, { "Institution": "First Place Bank", "CharterNumber": "714752", "Company": "", "Individual": "Eric C. Diamond", "Location": "Warren, OH", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "11/20/2013", "StartDocuments": [ "2013-198" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2013-89", "SubjectMatters": [ "Breach of Fiduciary Duty", "Fraud/Forgery", "Insider Issues" ] }, { "Institution": "First Place Bank", "CharterNumber": "714752", "Company": "", "Individual": "Jaime J. Diamond", "Location": "Warren, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "11/20/2013", "StartDocuments": [ "2013-199" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2013-90", "SubjectMatters": [ "Breach of Fiduciary Duty", "Fraud/Forgery", "Insider Issues" ] }, { "Institution": "First Place Bank", "CharterNumber": "714752", "Company": "", "Individual": "Jaime J. Diamond", "Location": "Warren, OH", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "11/20/2013", "StartDocuments": [ "2013-199" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2013-90", "SubjectMatters": [ "Breach of Fiduciary Duty", "Fraud/Forgery", "Insider Issues" ] }, { "Institution": "First Place Bank", "CharterNumber": "714752", "Company": "", "Individual": "Steven R. Lewis", "Location": "Warren, OH", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "08/25/2016", "StartDocuments": [ "2016-078" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2016-44", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Breach of Fiduciary Duty", "Expense Abuse", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Lending Issues", "Other Lending Deficiencies", "Problem Loan Identification" ] }, { "Institution": "First Place Bank", "CharterNumber": "714752", "Company": "", "Individual": "Steven R. Lewis", "Location": "Warren, OH", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "50000.00", "StartDate": "08/25/2016", "StartDocuments": [ "2016-078" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2016-44", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Breach of Fiduciary Duty", "Expense Abuse", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Lending Issues", "Other Lending Deficiencies", "Problem Loan Identification" ] }, { "Institution": "First Place Bank", "CharterNumber": "714752", "Company": "", "Individual": "Craig E. Reay", "Location": "Warren, OH", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "12/09/2015", "StartDocuments": [ "2015-140" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2015-76", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Appraisals", "Breach of Fiduciary Duty", "Inaccurate / Incomplete / False Books and Records", "Lending Issues", "Other Lending Deficiencies", "Problem Loan Identification", "Violation Cited (Criminal Statute)", "Violation Cited (Other)" ] }, { "Institution": "First Place Bank", "CharterNumber": "714752", "Company": "", "Individual": "Craig E. Reay", "Location": "Warren, OH", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "6000.00", "StartDate": "12/09/2015", "StartDocuments": [ "2015-140" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2015-76", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Appraisals", "Breach of Fiduciary Duty", "Inaccurate / Incomplete / False Books and Records", "Lending Issues", "Other Lending Deficiencies", "Problem Loan Identification", "Violation Cited (Criminal Statute)", "Violation Cited (Other)" ] }, { "Institution": "First Premier Bank National Association", "CharterNumber": "15639", "Company": "", "Individual": "", "Location": "Sioux Falls, SD", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "07/28/1993", "StartDocuments": [ "93-206" ], "TerminationDate": "06/24/1996", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First Premier Bank National Association", "CharterNumber": "15639", "Company": "", "Individual": "T. Denny Sanford", "Location": "Sioux Falls, SD", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1000.00", "StartDate": "05/10/1994", "StartDocuments": [ "94-111" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First Professional Bank", "CharterNumber": "17423", "Company": "", "Individual": "Gary W. Mounce", "Location": "Santa Monica, CA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "01/15/2002", "StartDocuments": [ "2002-4" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-01-10", "SubjectMatters": [] }, { "Institution": "First Professional Bank", "CharterNumber": "17423", "Company": "", "Individual": "Gary W. Mounce", "Location": "Santa Monica, CA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "8000.00", "StartDate": "01/15/2002", "StartDocuments": [ "2002-4" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First Professional Bank, N.A.", "CharterNumber": "17423", "Company": "", "Individual": "Melinda McIntyre-Kolpin", "Location": "Santa Monica, CA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "08/01/2000", "StartDocuments": [ "2000-71" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-00-22", "SubjectMatters": [] }, { "Institution": "First Professional Bank, National Association", "CharterNumber": "17423", "Company": "", "Individual": "", "Location": "Santa Monica, CA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "03/22/2000", "StartDocuments": [ "2000-32" ], "TerminationDate": "08/23/2001", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First Robinson Savings Bank, National Association", "CharterNumber": "23393", "Company": "", "Individual": "Debra Schlichte", "Location": "Robinson, IL", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "05/24/2023", "StartDocuments": [ "2023-012" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Breach of Fiduciary Duty", "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "First Scottsdale Bank, National Association", "CharterNumber": "24805", "Company": "", "Individual": "", "Location": "Scottsdale, AZ", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "11/19/2014", "StartDocuments": [ "2014-145" ], "TerminationDate": "09/11/2015", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Audit", "Board / Management Oversight", "Capital", "Compliance Risk Management", "Consumer Law", "Credit/Collateral Exceptions", "Lending Issues", "Loan Review", "Other Lending Deficiencies", "Problem Loan Identification", "Strategic Planning" ] }, { "Institution": "First Security Bank Of New Mexico, National Association", "CharterNumber": "13814", "Company": "", "Individual": "Loren A. Hagemeyer", "Location": "Albuquerque, NM", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2800.00", "StartDate": "11/11/1993", "StartDocuments": [ "93-280" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-93-99", "SubjectMatters": [] }, { "Institution": "First Security Interim Bank, National Association", "CharterNumber": "23394", "Company": "", "Individual": "Kimberly J. Barrett", "Location": "Salt Lake City, UT", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "03/04/2004", "StartDocuments": [ "2004-25" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First Security National Bank", "CharterNumber": "18584", "Company": "", "Individual": "", "Location": "Norcross, GA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "11/18/2008", "StartDocuments": [ "2008-150" ], "TerminationDate": "12/04/2009", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First Security National Bank", "CharterNumber": "17515", "Company": "", "Individual": "", "Location": "Lincoln, NE", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "03/02/1994", "StartDocuments": [ "94-25" ], "TerminationDate": "08/28/1998", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First Security National Bank And Trust Company Of Lexington", "CharterNumber": "906", "Company": "", "Individual": "", "Location": "Lexington, KY", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "12/04/1991", "StartDocuments": [ "437" ], "TerminationDate": "08/20/1992", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First Southern National Bank", "CharterNumber": "24254", "Company": "", "Individual": "", "Location": "Statesboro, GA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "11/30/2010", "StartDocuments": [ "2010-254" ], "TerminationDate": "08/19/2011", "TerminationDocuments": [], "DocketNumber": "AA-EC-10-121", "SubjectMatters": [] }, { "Institution": "First Southern National Bank", "CharterNumber": "24254", "Company": "", "Individual": "", "Location": "Statesboro, GA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "05/18/2009", "StartDocuments": [ "2009-088" ], "TerminationDate": "11/30/2010", "TerminationDocuments": [ "2010-254" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First Southern National Bank", "CharterNumber": "1493", "Company": "", "Individual": "Jamie Coyle", "Location": "Lancaster, KY", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "02/16/2023", "StartDocuments": [ "2023-003" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2023-2", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "First Southern National Bank", "CharterNumber": "1493", "Company": "", "Individual": "McKinley Dailey", "Location": "Lancaster, KY", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "06/07/2019", "StartDocuments": [ "2019-029" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2019-20", "SubjectMatters": [ "Breach of Fiduciary Duty", "Fraud/Forgery", "Insider Issues", "Lending Issues", "Loans to Insiders (incl. Reg O)", "Nominee Lending", "Other Lending Deficiencies" ] }, { "Institution": "First Southern National Bank", "CharterNumber": "1493", "Company": "", "Individual": "McKinley Dailey", "Location": "Lancaster, KY", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "06/07/2019", "StartDocuments": [ "2019-029" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2019-20", "SubjectMatters": [ "Breach of Fiduciary Duty", "Fraud/Forgery", "Insider Issues", "Lending Issues", "Loans to Insiders (incl. Reg O)", "Nominee Lending", "Other Lending Deficiencies" ] }, { "Institution": "First Southern National Bank", "CharterNumber": "1493", "Company": "", "Individual": "McKinley Dailey", "Location": "Lancaster, KY", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "27500.00", "StartDate": "06/07/2019", "StartDocuments": [ "2019-029" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2019-20", "SubjectMatters": [ "Breach of Fiduciary Duty", "Fraud/Forgery", "Insider Issues", "Lending Issues", "Loans to Insiders (incl. Reg O)", "Nominee Lending", "Other Lending Deficiencies" ] }, { "Institution": "First Southern National Bank", "CharterNumber": "1493", "Company": "", "Individual": "McKinley Dailey", "Location": "Lancaster, KY", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "26385.97", "StartDate": "06/07/2019", "StartDocuments": [ "2019-029" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2019-20", "SubjectMatters": [ "Breach of Fiduciary Duty", "Fraud/Forgery", "Insider Issues", "Lending Issues", "Loans to Insiders (incl. 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"AA-SCP-92-04", "SubjectMatters": [] }, { "Institution": "First Tennessee Bank National Association", "CharterNumber": "336", "Company": "", "Individual": "", "Location": "Memphis, TN", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "02/08/2017", "StartDocuments": [ "2017-015" ], "TerminationDate": "06/26/2018", "TerminationDocuments": [ "2018-057" ], "DocketNumber": "AA-EC-2017-8", "SubjectMatters": [ "Consumer Law", "Unfair or Deceptive (UDAP)" ] }, { "Institution": "First Tennessee Bank National Association", "CharterNumber": "336", "Company": "", "Individual": "", "Location": "Memphis, TN", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1000000.00", "StartDate": "02/08/2017", "StartDocuments": [ "2017-018" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2017-8", "SubjectMatters": [ "Consumer Law", "Unfair or Deceptive (UDAP)" ] }, { "Institution": "First Tennessee Bank National Association", "CharterNumber": "336", "Company": "", "Individual": "", "Location": "Memphis, TN", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "See Order", "StartDate": "02/08/2017", "StartDocuments": [ "2017-015" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2017-8", "SubjectMatters": [ "Consumer Law", "Unfair or Deceptive (UDAP)" ] }, { "Institution": "First Tennessee Bank National Association", "CharterNumber": "336", "Company": "", "Individual": "", "Location": "Memphis, TN", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "100000.00", "StartDate": "03/25/2009", "StartDocuments": [ "2009-046" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-09-12", "SubjectMatters": [] }, { "Institution": "First Tennessee Bank National Association", "CharterNumber": "336", "Company": "", "Individual": "Nichole K. Buendia", "Location": "Memphis, TN", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "07/29/2008", "StartDocuments": [ "2008-102" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-08-29", "SubjectMatters": [] }, { "Institution": "First Tennessee Bank National Association", "CharterNumber": "336", "Company": "", "Individual": "JW Compton", "Location": "Memphis, TN", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "11/29/2007", "StartDocuments": [ "2007-134" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-07-75", "SubjectMatters": [] }, { "Institution": "First Tennessee Bank National Association", "CharterNumber": "336", "Company": "", "Individual": "JW Compton", "Location": "Memphis, TN", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "11/29/2007", "StartDocuments": [ "2007-134" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-07-75", "SubjectMatters": [] }, { "Institution": "First Tennessee Bank National Association", "CharterNumber": "336", "Company": "", "Individual": "Stephanie Edmond", "Location": "Memphis, TN", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "07/14/2004", "StartDocuments": [ "2004-87" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-03-24", "SubjectMatters": [] }, { "Institution": "First Tennessee Bank National Association", "CharterNumber": "336", "Company": "", "Individual": "Stephanie Edmond", "Location": "Memphis, TN", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "4000.00", "StartDate": "07/14/2004", "StartDocuments": [ "2004-87" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First Tennessee Bank National Association", "CharterNumber": "336", "Company": "", "Individual": "Aileen Faccenda", "Location": "Memphis, TN", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "01/19/2007", "StartDocuments": [ "2007-006" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-06-72", "SubjectMatters": [] }, { "Institution": "First Tennessee Bank National Association", "CharterNumber": "336", "Company": "", "Individual": "Aileen Faccenda", "Location": "Memphis, TN", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "0.00", "StartDate": "01/19/2007", "StartDocuments": [ "2007-006" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-06-72", "SubjectMatters": [] }, { "Institution": "First Tennessee Bank National Association", "CharterNumber": "336", "Company": "", "Individual": "James Serratore", "Location": "Memphis, TN", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "02/26/2007", "StartDocuments": [ "2007-051" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-06-71", "SubjectMatters": [] }, { "Institution": "First Tennessee Bank National Association", "CharterNumber": "336", "Company": "", "Individual": "James Serratore", "Location": "Memphis, TN", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "02/26/2007", "StartDocuments": [ "2007-051" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-06-71", "SubjectMatters": [] }, { "Institution": "First Tennessee Bank National Association", "CharterNumber": "336", "Company": "", "Individual": "James Serratore", "Location": "Memphis, TN", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "100000.00", "StartDate": "02/26/2007", "StartDocuments": [ "2007-051" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-06-71", "SubjectMatters": [] }, { "Institution": "First Tennessee Bank National Association", "CharterNumber": "336", "Company": "", "Individual": "James Serratore", "Location": "Memphis, TN", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "460374.00", "StartDate": "02/26/2007", "StartDocuments": [ "2007-051" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-06-71", "SubjectMatters": [] }, { "Institution": "First Tennessee Bank National Association", "CharterNumber": "336", "Company": "", "Individual": "Terry K. 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Blakemore", "Location": "Memphis, TN", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "12/09/1999", "StartDocuments": [ "99-83" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First Tennessee Bank, N.A.", "CharterNumber": "336", "Company": "", "Individual": "Teresa L. Blakemore", "Location": "Memphis, TN", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "5900.00", "StartDate": "12/09/1999", "StartDocuments": [ "99-83" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First Tennessee Bank, N.A.", "CharterNumber": "336", "Company": "", "Individual": "Eric A. Burton", "Location": "Memphis, TN", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "12/09/1999", "StartDocuments": [ "99-84" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First Texoma National Bank", "CharterNumber": "14005", "Company": "", "Individual": "", "Location": "Durant, OK", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "09/17/2010", "StartDocuments": [ "2010-183" ], "TerminationDate": "03/26/2014", "TerminationDocuments": [ "2014-058" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First Trade Union Bank", "CharterNumber": "708433", "Company": "", "Individual": "", "Location": "Boston, MA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "01/07/2010", "StartDocuments": [ "SA" ], "TerminationDate": "05/30/2012", "TerminationDocuments": [ "2012-149" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First Union National Bank", "CharterNumber": "22693", "Company": "", "Individual": "John M. Guarduci", "Location": "Philadelphia, PA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "06/05/1997", "StartDocuments": [ "97-37" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First Union National Bank", "CharterNumber": "1", "Company": "", "Individual": "Aimee E. 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"TerminationDate": "08/12/1993", "TerminationDocuments": [ "93-243" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First-Taylor National Bank", "CharterNumber": "3027", "Company": "", "Individual": "Dr. Carlos Dale Parker", "Location": "Taylor, TX", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "06/25/1993", "StartDocuments": [ "93-220" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Firstar Bank, National Association", "CharterNumber": "15429", "Company": "", "Individual": "Blake Ferguson", "Location": "Sallisaw, OK", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "11/14/2017", "StartDocuments": [ "2017-098" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2017-59", "SubjectMatters": [ "Breach of Fiduciary Duty", "Fraud/Forgery", "Insider Issues", "Lending Issues", "Other Lending Deficiencies", "Theft / Misappropriation of Funds" ] }, { "Institution": "Firstar Bank, National Association", "CharterNumber": "15429", "Company": "", "Individual": "Jeffrey Scott Ferguson", "Location": "Sallisaw, OK", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "01/03/2018", "StartDocuments": [ "2018-004" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2017-58", "SubjectMatters": [ "Breach of Fiduciary Duty", "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "Firstar Bank, National Association", "CharterNumber": "15429", "Company": "", "Individual": "William Brian Mulder", "Location": "Sallisaw, OK", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "09/03/2020", "StartDocuments": [ "2020-063" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2019-43", "SubjectMatters": [ "Fraud/Forgery", "Insider Issues", "Lending Issues", "Loans to Insiders (incl. 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Reg O)", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Firstar Bank, National Association", "CharterNumber": "15429", "Company": "", "Individual": "William Brian Mulder", "Location": "Sallisaw, OK", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "2359256.56", "StartDate": "09/03/2020", "StartDocuments": [ "2020-063" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2019-43", "SubjectMatters": [ "Fraud/Forgery", "Insider Issues", "Lending Issues", "Loans to Insiders (incl. Reg O)", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Firstar Bank, National Association", "CharterNumber": "15429", "Company": "", "Individual": "William Brian Mulder", "Location": "Sallisaw, OK", "TypeCode": "Notice", "TypeDescription": "Notice of Charges", "Amount": "0.00", "StartDate": "07/11/2019", "StartDocuments": [ "N19-006" ], "TerminationDate": "09/03/2020", "TerminationDocuments": [ "2020-063" ], "DocketNumber": "AA-EC-2019-43", "SubjectMatters": [ "Fraud/Forgery", "Insider Issues", "Lending Issues", "Loans to Insiders (incl. 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"CharterNumber": "1798", "Company": "", "Individual": "", "Location": "Lincoln, NE", "TypeCode": "SEC", "TypeDescription": "Securities Enforcement Action", "Amount": "0.00", "StartDate": "01/24/1992", "StartDocuments": [ "991" ], "TerminationDate": "02/20/1996", "TerminationDocuments": [], "DocketNumber": "AA-SCP-92-04", "SubjectMatters": [] }, { "Institution": "Firstmerit Bank, National Association", "CharterNumber": "14579", "Company": "", "Individual": "", "Location": "Akron, OH", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "11/20/2006", "StartDocuments": [ "2006-134" ], "TerminationDate": "02/01/2008", "TerminationDocuments": [ "2008-066" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Flagship National Bank", "CharterNumber": "23764", "Company": "", "Individual": "", "Location": "Bradenton, FL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "11/20/2008", "StartDocuments": [ "2008-153" ], "TerminationDate": "10/23/2009", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Flagstar Bank, FSB", "CharterNumber": "708412", "Company": "", "Individual": "", "Location": "Troy, MI", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3620000.00", "StartDate": "12/28/2021", "StartDocuments": [ "2021-056" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [ "Consumer Law", "Flood Insurance", "Third Party Risk Management" ] }, { "Institution": "Flagstar Bank, FSB", "CharterNumber": "708412", "Company": "", "Individual": "", "Location": "Troy, MI", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "500000.00", "StartDate": "10/31/2016", "StartDocuments": [ "2016-095" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2016-75", "SubjectMatters": [ "Consumer Law", "Flood Insurance", "Noncompliance with Enforcement Action" ] }, { "Institution": "Flagstar Bank, FSB", "CharterNumber": "708412", "Company": "", "Individual": "", "Location": "Troy, MI", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "10/23/2012", "StartDocuments": [ "2012-230" ], "TerminationDate": "12/19/2016", "TerminationDocuments": [ "2017-073" ], "DocketNumber": "", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Asset Quality", "Audit", "BSA Independent Testing/Audit", "BSA Internal Controls", "BSA Risk Assessment", "BSA/AML", "Capital", "Compliance Risk Management", "Concentration Risk Management", "Consumer Law", "Credit/Collateral Exceptions", "Customer/Enhanced Due Diligence (CDD/EDD)", "Enterprise Governance / Internal Controls / General Risk Management", "Flood Insurance", "General IT Controls", "Information Technology", "Internal Audit", "Lending Issues", "Liquidity", "Loan Review", "SAR/CTR Monitoring/Filing Issue" ] }, { "Institution": "Flagstar Bank, FSB", "CharterNumber": "708412", "Company": "", "Individual": "", "Location": "Troy, MI", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "01/27/2010", "StartDocuments": [ "SA" ], "TerminationDate": "10/23/2012", "TerminationDocuments": [ "2012-246" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Flagstar Bank, National Association", "CharterNumber": "25282", "Company": "", "Individual": "Kristi Zaccaro", "Location": "Hicksville, NY", "TypeCode": "1829", "TypeDescription": "1829 Prohibition Notification", "Amount": "0.00", "StartDate": "04/18/2024", "StartDocuments": [ "2024-17" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Violation Cited (Criminal Statute)" ] }, { "Institution": "Flatbush FS & LA", "CharterNumber": "703444", "Company": "", "Individual": "", "Location": "Brooklyn, NY", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "04/12/2012", "StartDocuments": [ "2012-099" ], "TerminationDate": "11/02/2012", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Asset Quality", "Board / Management Oversight", "Capital", "Compensation", "Concentration Risk Management", "Consumer Law", "Credit/Collateral Exceptions", "Flood Insurance", "Insider Issues", "Investment/Other than Temporary Impairment", "Lending Issues", "Other Lending Deficiencies", "Problem Loan Identification", "Strategic Planning", "Trading & Securities" ] }, { "Institution": "Fleet Bank Of Massachusetts, National Association", "CharterNumber": "18677", "Company": "", "Individual": "Walter M. 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[ "2003-119" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Flemington National Bank and Trust Company, The", "CharterNumber": "2331", "Company": "", "Individual": "", "Location": "Flemington, NJ", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "10/16/1991", "StartDocuments": [ "385" ], "TerminationDate": "03/30/1994", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Flint River National Bank", "CharterNumber": "24505", "Company": "", "Individual": "", "Location": "Camilla, GA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "03/22/2012", "StartDocuments": [ "2012-093" ], "TerminationDate": "12/31/2014", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Asset Quality", "Capital", "Credit/Collateral Exceptions", "Legal 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"Credit/Collateral Exceptions", "Enterprise Governance / Internal Controls / General Risk Management", "Lending Issues", "Liquidity", "Loan Review", "Other Lending Deficiencies", "Problem Loan Identification", "Sensitivity to Market Risk", "Strategic Planning" ] }, { "Institution": "Florida Capital Bank, National Association", "CharterNumber": "20214", "Company": "", "Individual": "", "Location": "Jacksonville, FL", "TypeCode": "CD", "TypeDescription": "Capital Directive", "Amount": "0.00", "StartDate": "09/01/2010", "StartDocuments": [ "2010-167" ], "TerminationDate": "03/08/2016", "TerminationDocuments": [ "2016-041" ], "DocketNumber": "AA-EC-10-81", "SubjectMatters": [] }, { "Institution": "Florida Capital Bank, National Association", "CharterNumber": "20214", "Company": "", "Individual": "", "Location": "Jacksonville, FL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "03/26/2009", "StartDocuments": [ "2009-038" ], "TerminationDate": "02/16/2017", "TerminationDocuments": [ "2017-022" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "FNB Bank, National Association", "CharterNumber": "325", "Company": "", "Individual": "", "Location": "Danville, PA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "07/14/2014", "StartDocuments": [ "2014-085" ], "TerminationDate": "10/27/2017", "TerminationDocuments": [ "2017-100" ], "DocketNumber": "AA-EC-2014-68", "SubjectMatters": [ "BSA Internal Controls", "BSA Risk Assessment", "BSA/AML", "Customer/Enhanced Due Diligence (CDD/EDD)", "SAR/CTR Monitoring/Filing Issue" ] }, { "Institution": "FNB Bank, National Association", "CharterNumber": "325", "Company": "", "Individual": "", "Location": "Danville, PA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "43120.00", "StartDate": "09/18/2013", "StartDocuments": [ "2013-211" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-13-56", "SubjectMatters": [ "Consumer Law", "Flood Insurance" ] }, { "Institution": "Forcht Bank, National Association", "CharterNumber": "24349", "Company": "", "Individual": "Debra Walters", "Location": "Lexington, KY", "TypeCode": "1829", "TypeDescription": "1829 Prohibition Notification", "Amount": "0.00", "StartDate": "05/16/2025", "StartDocuments": [ "2025-07" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Violation Cited (Criminal Statute)" ] }, { "Institution": "Forrest City Bank, National Association", "CharterNumber": "23195", "Company": "", "Individual": "", "Location": "Forrest City, AR", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "04/25/2011", "StartDocuments": [ "2011-079" ], "TerminationDate": "04/06/2017", "TerminationDocuments": [ "2017-039" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Forrest City Bank, National Association", "CharterNumber": "23195", "Company": "", "Individual": "", "Location": "Forrest City, AR", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "02/17/2010", "StartDocuments": [ "2010-048" ], "TerminationDate": "04/25/2011", "TerminationDocuments": [ "2011-089" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Forrest City Bank, National Association", "CharterNumber": "23195", "Company": "", "Individual": "", "Location": "Forrest City, AR", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "08/05/2003", "StartDocuments": [ "2003-102" ], "TerminationDate": "02/16/2007", "TerminationDocuments": [ "2007-046" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Fort Knox National Bank", "CharterNumber": "14894", "Company": "", "Individual": "", "Location": "Fort Knox, KY", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "12/20/1991", "StartDocuments": [ "180" ], "TerminationDate": "09/02/1992", "TerminationDocuments": [ "720" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Fort Knox National Bank", "CharterNumber": "14894", "Company": "", "Individual": "", "Location": "Radcliff, KY", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "700.00", "StartDate": "04/10/2006", "StartDocuments": [ "2006-31" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Fort Lee Federal Savings Bank, FSB", "CharterNumber": "716832", "Company": "", "Individual": "", "Location": "Fort Lee, NJ", "TypeCode": "PCAD", "TypeDescription": "Prompt Corrective Action (PCA) Directive", "Amount": "0.00", "StartDate": "03/15/2012", "StartDocuments": [ "2012-077" ], "TerminationDate": "04/20/2012", "TerminationDocuments": [], "DocketNumber": "AA-EC-12-41", "SubjectMatters": [ "Board / Management Oversight", "Capital", "Prompt Corrective Action" ] }, { "Institution": "Fort Lee Federal Savings Bank, FSB", "CharterNumber": "716832", "Company": "", "Individual": "Douglas Cestone", "Location": "Fort Lee, NJ", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3000.00", "StartDate": "03/26/2014", "StartDocuments": [ "2014-032" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2013-49", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Board / Management Oversight", "Breach of Fiduciary Duty", "Compensation", "Expense Abuse", "False Statements / Obstruction", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Lending Issues", "Noncompliance with Enforcement Action", "Other Lending Deficiencies" ] }, { "Institution": "Fort Lee Federal Savings Bank, FSB", "CharterNumber": "716832", "Company": "", "Individual": "Haralambos S. Kostakopoulos", "Location": "Fort Lee, NJ", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "01/19/2016", "StartDocuments": [ "2016-010" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-13-47", "SubjectMatters": [] }, { "Institution": "Fort Lee Federal Savings Bank, FSB", "CharterNumber": "716832", "Company": "", "Individual": "Haralambos S. Kostakopoulos", "Location": "Fort Lee, NJ", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3000.00", "StartDate": "01/19/2016", "StartDocuments": [ "2016-010" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-13-47", "SubjectMatters": [] }, { "Institution": "Fort Lee Federal Savings Bank, FSB", "CharterNumber": "716832", "Company": "", "Individual": "Haralambos S. 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Finger", "Location": "Hondo, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3000.00", "StartDate": "09/10/1991", "StartDocuments": [ "372" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-90-146", "SubjectMatters": [] }, { "Institution": "Honesdale National Bank", "CharterNumber": "644", "Company": "", "Individual": "", "Location": "Honesdale, PA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "07/01/1992", "StartDocuments": [ "729" ], "TerminationDate": "03/25/1993", "TerminationDocuments": [ "93-395" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Hopkins Federal Savings Bank", "CharterNumber": "708196", "Company": "", "Individual": "", "Location": "Baltimore, MD", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "04/17/2014", "StartDocuments": [ "2014-051" ], "TerminationDate": "07/08/2016", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Asset Quality", "Board / Management Oversight", "BSA Independent Testing/Audit", "BSA Internal Controls", "BSA Training", "BSA/AML", "Credit/Collateral Exceptions", "Inaccurate / Incomplete / False Books and Records", "Investment/Other than Temporary Impairment", "Lending Issues", "Loan Review", "OREO", "Other Lending Deficiencies", "Problem Loan Identification", "SAR/CTR Monitoring/Filing Issue", "Sensitivity to Market Risk", "Strategic Planning", "Trading & Securities" ] }, { "Institution": "Hopkins Federal Savings Bank", "CharterNumber": "708196", "Company": "", "Individual": "", "Location": "Baltimore, MD", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "04/18/2011", "StartDocuments": [ "SA" ], "TerminationDate": "04/17/2014", "TerminationDocuments": [ "2014-055" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Hopkins Federal Savings Bank", "CharterNumber": "708196", "Company": "", "Individual": "Steven Cohen", "Location": "Baltimore, MD", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "13000.00", "StartDate": "05/18/2012", "StartDocuments": [ "2012-109" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-12-37", "SubjectMatters": [ "Affiliate Transactions (incl. Reg W)", "Insider Issues", "Lending Issues", "Loans to Insiders (incl. Reg O)" ] }, { "Institution": "Hopkins Federal Savings Bank", "CharterNumber": "708196", "Company": "", "Individual": "Alvin Lapidus", "Location": "Baltimore, MD", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "20000.00", "StartDate": "05/18/2012", "StartDocuments": [ "2012-110" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-12-37", "SubjectMatters": [ "Affiliate Transactions (incl. Reg W)", "Insider Issues", "Lending Issues", "Loans to Insiders (incl. Reg O)" ] }, { "Institution": "Household Bank (SB), National Association", "CharterNumber": "22675", "Company": "", "Individual": "", "Location": "Las Vegas, NV", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "03/25/2003", "StartDocuments": [ "2003-17" ], "TerminationDate": "12/15/2006", "TerminationDocuments": [ "2006-171" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Houston National Bank", "CharterNumber": "18560", "Company": "", "Individual": "", "Location": "Houston, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2100.00", "StartDate": "01/31/1990", "StartDocuments": [ "34" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-90-17", "SubjectMatters": [] }, { "Institution": "HSBC Bank USA, National Association", "CharterNumber": "24522", "Company": "", "Individual": "", "Location": "Mclean, VA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "32500000.00", "StartDate": "01/06/2017", "StartDocuments": [ "2017-002" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2016-96", "SubjectMatters": [ "Consumer Law", "Lending Issues", "Noncompliance with Enforcement Action", "Other Lending Deficiencies" ] }, { "Institution": "HSBC Bank USA, National Association", "CharterNumber": "24522", "Company": "", "Individual": "", "Location": "Mclean, VA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "04/12/2016", "StartDocuments": [ "2016-045" ], "TerminationDate": "11/27/2017", "TerminationDocuments": [ "2017-103" ], "DocketNumber": "AA-EC-2015-101", "SubjectMatters": [ "Audit", "Consumer Law", "Enterprise Governance / Internal Controls / General Risk Management", "Internal Audit", "Third Party Risk Management", "Unfair or Deceptive (UDAP)" ] }, { "Institution": "HSBC Bank USA, National Association", "CharterNumber": "24522", "Company": "", "Individual": "", "Location": "Mclean, VA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "35000000.00", "StartDate": "04/12/2016", "StartDocuments": [ "2016-046" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2015-100", "SubjectMatters": [ "Consumer Law", "Unfair or Deceptive (UDAP)" ] }, { "Institution": "HSBC Bank USA, National Association", "CharterNumber": "24522", "Company": "", "Individual": "", "Location": "Mclean, VA", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "See Order", "StartDate": "04/12/2016", "StartDocuments": [ "2016-045" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2015-101", "SubjectMatters": [ "Audit", "Consumer Law", "Enterprise Governance / Internal Controls / General Risk Management", "Internal Audit", "Third Party Risk Management", "Unfair or Deceptive (UDAP)" ] }, { "Institution": "HSBC Bank USA, National Association", "CharterNumber": "24522", "Company": "", "Individual": "", "Location": "Mclean, VA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "06/16/2015", "StartDocuments": [ "2015-063" ], "TerminationDate": "01/06/2017", "TerminationDocuments": [ "2017-003" ], "DocketNumber": "AA-EC-11-14", "SubjectMatters": [ "Compliance Risk Management", "Consumer Law", "Foreclosures", "Lending Issues" ] }, { "Institution": "HSBC Bank USA, National Association", "CharterNumber": "24522", "Company": "", "Individual": "", "Location": "Mclean, VA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "02/28/2013", "StartDocuments": [ "2013-130" ], "TerminationDate": "01/06/2017", "TerminationDocuments": [ "2017-003" ], "DocketNumber": "AA-EC-11-14", "SubjectMatters": [ "Consumer Law", "Foreclosures", "Lending Issues" ] }, { "Institution": "HSBC Bank USA, National Association", "CharterNumber": "24522", "Company": "", "Individual": "", "Location": "Mclean, VA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "12/11/2012", "StartDocuments": [ "2012-261" ], "TerminationDate": "06/27/2018", "TerminationDocuments": [ "2018-059" ], "DocketNumber": "AA-EC-2012-140", "SubjectMatters": [ "Compliance Risk Management" ] }, { "Institution": "HSBC Bank USA, National Association", "CharterNumber": "24522", "Company": "", "Individual": "", "Location": "Mclean, VA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "500000000.00", "StartDate": "12/11/2012", "StartDocuments": [ "2012-262" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2012-112", "SubjectMatters": [ "BSA Independent Testing/Audit", "BSA Internal Controls", "BSA Program Violation / 12 CFR 21.21", "BSA SAR Violation / 12 CFR 21.11 or 163.180", "BSA Violation Cited", "BSA/AML", "Customer/Enhanced Due Diligence (CDD/EDD)", "Noncompliance with Enforcement Action", "SAR/CTR Monitoring/Filing Issue" ] }, { "Institution": "HSBC Bank USA, National Association", "CharterNumber": "24522", "Company": "", "Individual": "", "Location": "Mclean, VA", "TypeCode": "GLBA", "TypeDescription": "GLBA Agreement", "Amount": "0.00", "StartDate": "12/11/2012", "StartDocuments": [ "2012-263" ], "TerminationDate": "09/21/2018", "TerminationDocuments": [ "2018-090" ], "DocketNumber": "AA-EC-2012-153", "SubjectMatters": [ "Affiliate Transactions (incl. Reg W)" ] }, { "Institution": "HSBC Bank USA, National Association", "CharterNumber": "24522", "Company": "", "Individual": "", "Location": "Mclean, VA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "04/13/2011", "StartDocuments": [ "2011-052" ], "TerminationDate": "01/06/2017", "TerminationDocuments": [ "2017-003" ], "DocketNumber": "AA-EC-11-14", "SubjectMatters": [] }, { "Institution": "HSBC Bank USA, National Association", "CharterNumber": "24522", "Company": "", "Individual": "", "Location": "Mclean, VA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "10/06/2010", "StartDocuments": [ "2010-199" ], "TerminationDate": "06/27/2018", "TerminationDocuments": [ "2018-058" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "HSBC Bank USA, National Association", "CharterNumber": "24522", "Company": "", "Individual": "Gideon Dunn", "Location": "Mclean, VA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "12/21/2011", "StartDocuments": [ "2011-193" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-11-75", "SubjectMatters": [] }, { "Institution": "HSBC Bank USA, National Association", "CharterNumber": "24522", "Company": "", "Individual": "Mark Johnson", "Location": "Tysons, VA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "12/10/2020", "StartDocuments": [ "2020-077" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-20-81", "SubjectMatters": [ "Fraud/Forgery", "Insider Issues", "Violation Cited (Criminal Statute)" ] }, { "Institution": "HSBC Bank USA, National Association", "CharterNumber": "24522", "Company": "", "Individual": "Mark Johnson", "Location": "Mclean, VA", "TypeCode": "Suspension", "TypeDescription": "Suspension Order for Criminal Conduct", "Amount": "0.00", "StartDate": "10/05/2016", "StartDocuments": [ "N16-005" ], "TerminationDate": "05/20/2018", "TerminationDocuments": [ "2020-077" ], "DocketNumber": "AA-EC-2016-74", "SubjectMatters": [ "Foreign Exchange (FX)", "Fraud/Forgery", "Insider Issues", "Trading & Securities", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Hudson Valley Bank, National Association", "CharterNumber": "24790", "Company": "", "Individual": "", "Location": "Stamford, CT", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "04/24/2012", "StartDocuments": [ "2012-096" ], "TerminationDate": "10/30/2013", "TerminationDocuments": [ "2013-221" ], "DocketNumber": "", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Asset Quality", "Audit", "Board / Management Oversight", "Capital", "Concentration Risk Management", "Earnings", "Enterprise Governance / Internal Controls / General Risk Management", "Internal Audit", "Lending Issues", "Liquidity", "Other Lending Deficiencies", "Trust Activities" ] }, { "Institution": "Hulett National Bank", "CharterNumber": "18154", "Company": "", "Individual": "", "Location": "Hulett, WY", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "10/05/1992", "StartDocuments": [ "737" ], "TerminationDate": "11/07/1994", "TerminationDocuments": [ "94-267" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Humble National Bank", "CharterNumber": "16875", "Company": "", "Individual": "v. Wilson Archer", "Location": "Humble, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3000.00", "StartDate": "04/20/1993", "StartDocuments": [ "93-369" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-SW-93-64", "SubjectMatters": [] }, { "Institution": "Humble National Bank", "CharterNumber": "16875", "Company": "", "Individual": "Robert T. Curry", "Location": "Humble, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3000.00", "StartDate": "06/10/1993", "StartDocuments": [ "93-366" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Humble National Bank", "CharterNumber": "16875", "Company": "", "Individual": "Michael W. Say", "Location": "Humble, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1500.00", "StartDate": "07/29/1993", "StartDocuments": [ "93-193" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-SW-93-62", "SubjectMatters": [] }, { "Institution": "Humble National Bank", "CharterNumber": "16875", "Company": "", "Individual": "James L. Smith", "Location": "Humble, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3000.00", "StartDate": "05/04/1993", "StartDocuments": [ "93-138" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Humble National Bank", "CharterNumber": "16875", "Company": "", "Individual": "James L. Smith", "Location": "Humble, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1000.00", "StartDate": "06/04/1991", "StartDocuments": [ "305" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Humble National Bank", "CharterNumber": "16875", "Company": "", "Individual": "John Stefek", "Location": "Humble, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3000.00", "StartDate": "04/20/1993", "StartDocuments": [ "93-358" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-SW-93-63", "SubjectMatters": [] }, { "Institution": "Humble National Bank", "CharterNumber": "16875", "Company": "", "Individual": "A.J. Foster", "Location": "Humble, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3000.00", "StartDate": "05/18/1993", "StartDocuments": [ "93-137" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Hunterdon National Bank", "CharterNumber": "21106", "Company": "", "Individual": "", "Location": "Clinton Township, NJ", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1800.00", "StartDate": "07/09/1990", "StartDocuments": [ "969" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-90-93", "SubjectMatters": [] }, { "Institution": "Hunterdon National Bank", "CharterNumber": "21106", "Company": "", "Individual": "M. 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Thomas-Nicholson", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "09/29/2004", "StartDocuments": [ "2004-117" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Huntington National Bank", "CharterNumber": "7745", "Company": "", "Individual": "Dyann R. Thomas-Nicholson", "Location": "Columbus, OH", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "27800.00", "StartDate": "09/29/2004", "StartDocuments": [ "2004-117" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-04-72", "SubjectMatters": [] }, { "Institution": "Huron National Bank", "CharterNumber": "16857", "Company": "", "Individual": "", "Location": "Rogers City, MI", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "06/29/2017", "StartDocuments": [ "2017-056" ], "TerminationDate": "04/06/2020", "TerminationDocuments": [ "2020-028" ], "DocketNumber": "AA-CE-2020-36", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Appraisals", "Asset Quality", "Credit/Collateral Exceptions", "Enterprise Governance / Internal Controls / General Risk Management", "Lending Issues", "Loan Review", "Other Lending Deficiencies", "Overdrafts", "Problem Loan Identification" ] }, { "Institution": "Icici Bank Limited", "CharterNumber": "80123", "Company": "", "Individual": "", "Location": "New York, NY", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "10/03/2022", "StartDocuments": [ "2022-041" ], "TerminationDate": "03/08/2025", "TerminationDocuments": [ "AA-ENF-2025-15" ], "DocketNumber": "AA-ENF-2022-56", "SubjectMatters": [ "BSA Internal Controls", "BSA Officer", "BSA Program Violation / 12 CFR 21.21", "BSA Risk Assessment", "BSA SAR Violation / 12 CFR 21.11 or 163.180", "BSA Training", "BSA Violation Cited", "BSA/AML", "Customer/Enhanced Due Diligence (CDD/EDD)", "OFAC Compliance Issue", "SAR/CTR Monitoring/Filing Issue" ] }, { "Institution": "Illinois-Service FS & LA", "CharterNumber": "703395", "Company": "", "Individual": "", "Location": "Chicago, IL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "04/16/2015", "StartDocuments": [ "2015-033" ], "TerminationDate": "09/18/2020", "TerminationDocuments": [ "2020-053" ], "DocketNumber": "AA-EC-2015-14", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Asset Quality", "Board / Management Oversight", "Capital", "Concentration Risk Management", "Credit/Collateral Exceptions", "Lending Issues", "OREO", "Other Lending Deficiencies", "Problem Loan Identification", "Strategic Planning" ] }, { "Institution": "Illinois-Service FS & LA", "CharterNumber": "703395", "Company": "", "Individual": "", "Location": "Chicago, IL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "02/28/2013", "StartDocuments": [ "2013-014" ], "TerminationDate": "04/16/2015", "TerminationDocuments": [ "2015-033" ], "DocketNumber": "", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Asset Quality", "Capital", "Credit/Collateral Exceptions", "Lending Issues", "OREO", "Other Lending Deficiencies", "Problem Loan Identification", "Strategic Planning" ] }, { "Institution": "Illinois-Service FS & LA", "CharterNumber": "703395", "Company": "", "Individual": "Jacqueline Brown", "Location": "Chicago, IL", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "02/01/2022", "StartDocuments": [ "2022-007" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2021-04", "SubjectMatters": [] }, { "Institution": "Inb National Bank", "CharterNumber": "984", "Company": "", "Individual": "", "Location": "Indianapolis, IN", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000.00", "StartDate": "01/17/1992", "StartDocuments": [ "979" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-SCP-92-04", "SubjectMatters": [] }, { "Institution": "Inb National Bank", "CharterNumber": "984", "Company": "", "Individual": "", "Location": "Indianapolis, IN", "TypeCode": "SEC", "TypeDescription": "Securities Enforcement Action", "Amount": "0.00", "StartDate": "01/17/1992", "StartDocuments": [ "979" ], "TerminationDate": "06/26/1997", "TerminationDocuments": [ "97-95" ], "DocketNumber": "AA-SCP-92-04", "SubjectMatters": [] }, { "Institution": "Incommons Bank, National Association", "CharterNumber": "12190", "Company": "", "Individual": "", "Location": "Mexia, TX", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "04/20/2010", "StartDocuments": [ "2010-083" ], "TerminationDate": "10/16/2012", "TerminationDocuments": [ "2012-248" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Independence Federal Savings Bank", "CharterNumber": "707173", "Company": "", "Individual": "", "Location": "Washington, DC", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "08/27/2012", "StartDocuments": [ "2012-214" ], "TerminationDate": "12/04/2013", "TerminationDocuments": [ "2013-192" ], "DocketNumber": "AA-EC-12-107", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Appraisals", "Asset Quality", "Board / Management Oversight", "Capital", "Concentration Risk Management", "Credit/Collateral Exceptions", "Lending Issues", "Liquidity", "OREO", "Other Lending Deficiencies", "Problem Loan Identification", "Sensitivity to Market Risk", "Strategic Planning" ] }, { "Institution": "Independence Federal Savings Bank", "CharterNumber": "707173", "Company": "", "Individual": "", "Location": "Washington, DC", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "02/23/2011", "StartDocuments": [ "SE-11-008" ], "TerminationDate": "08/27/2012", "TerminationDocuments": [ "2012-214" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Independence Federal Savings Bank", "CharterNumber": "707173", 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"TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "07/06/2011", "StartDocuments": [ "2011-108" ], "TerminationDate": "11/30/2015", "TerminationDocuments": [ "2015-146" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "", "Location": "Columbus, OH", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "13051527.00", "StartDate": "07/06/2011", "StartDocuments": [ "2011-108" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-11-63", "SubjectMatters": [] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "", "Location": "Columbus, OH", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2000000.00", "StartDate": "06/14/2011", "StartDocuments": [ "2011-094" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-11-57", "SubjectMatters": [] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "", "Location": "Columbus, OH", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "04/13/2011", "StartDocuments": [ "2011-050" ], "TerminationDate": "01/04/2016", "TerminationDocuments": [ "2016-003" ], "DocketNumber": "AA-EC-11-15", "SubjectMatters": [] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Alhassan Abubakar", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "03/31/2025", "StartDocuments": [ "AA-ENF-2025-08" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2025-08", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation 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"Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Akshay Aiyer", "Location": "Columbus, OH", "TypeCode": "Suspension", "TypeDescription": "Suspension Order for Criminal Conduct", "Amount": "0.00", "StartDate": "01/07/2019", "StartDocuments": [ "N19-001" ], "TerminationDate": "05/23/2022", "TerminationDocuments": [], "DocketNumber": "AA-EC-2018-68", "SubjectMatters": [ "Foreign Exchange (FX)", "Trading & Securities", "Violation Cited (Criminal Statute)" ] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Cyntia Alvarez", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "07/07/2023", "StartDocuments": [ "2023-023" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2023-14", "SubjectMatters": [] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Denika Armstead", "Location": "Columbus, OH", "TypeCode": "1829", "TypeDescription": "1829 Prohibition Notification", "Amount": "0.00", "StartDate": "05/30/2024", "StartDocuments": [ "2024-31" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Violation Cited (Criminal Statute)" ] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "David Austin", "Location": "Columbus, OH", "TypeCode": "1829", "TypeDescription": "1829 Prohibition Notification", "Amount": "0.00", "StartDate": "03/22/2024", "StartDocuments": [ "2024-08" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Violation Cited (Criminal Statute)" ] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Timothy Beckstrand", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "10/04/2010", "StartDocuments": [ "2010-201" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-10-74", "SubjectMatters": [] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Belinda Brandimarti", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "05/31/2011", "StartDocuments": [ "2011-085" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-11-56", "SubjectMatters": [] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Maya L. Brown", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "05/11/2009", "StartDocuments": [ "2009-076" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-09-11", "SubjectMatters": [] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "James Preston Bryan", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "11/17/2009", "StartDocuments": [ "2009-206" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-09-84", "SubjectMatters": [] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Kyle Bryant", "Location": "Columbus, OH", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "11/29/2010", "StartDocuments": [ "2010-249" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-10-78", "SubjectMatters": [] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Stacey L. Budd", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "03/15/2011", "StartDocuments": [ "2011-037" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-11-25", "SubjectMatters": [] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Valarie L. Butcher", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "09/08/2009", "StartDocuments": [ "2009-161" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-09-50", "SubjectMatters": [] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "James Chanse Carlson", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "08/30/2010", "StartDocuments": [ "2010-196" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-10-75", "SubjectMatters": [] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Randy Chipman", "Location": "Columbus, OH", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "10/04/2010", "StartDocuments": [ "2010-200" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-10-77", "SubjectMatters": [] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Kevin Chiu", "Location": "Columbus, OH", "TypeCode": "1829", "TypeDescription": "1829 Prohibition Notification", "Amount": "0.00", "StartDate": "03/27/2024", "StartDocuments": [ "2024-09" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Violation Cited (Criminal Statute)" ] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "John S. Cho", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "04/23/2009", "StartDocuments": [ "2009-053" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-08-79", "SubjectMatters": [] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Katelyn Coulter", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "12/07/2022", "StartDocuments": [ "2022-064" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2022-57", "SubjectMatters": [ "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "John Edmonds", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "01/30/2024", "StartDocuments": [ "AA-ENF-2024-05" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2024-05", "SubjectMatters": [ "Securities Activities", "Trading & Securities", "Violation Cited (Criminal Statute)" ] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Derek B. Eggert", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "03/22/2018", "StartDocuments": [ "2018-023" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2018-85", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Troy D. Fabon", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "05/16/2019", "StartDocuments": [ "2019-025" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2019-16", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Eileen B. Fish", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "07/22/2010", "StartDocuments": [ "2010-271" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2009-65", "SubjectMatters": [] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Eileen B. Fish", "Location": "Columbus, OH", "TypeCode": "Notice", "TypeDescription": "Notice of Charges", "Amount": "0.00", "StartDate": "11/13/2009", "StartDocuments": [ "N09-001" ], "TerminationDate": "07/22/2010", "TerminationDocuments": [ "2010-271" ], "DocketNumber": "AA-EC-2009-65", "SubjectMatters": [] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Loretta S. Flenar", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "10/24/2008", "StartDocuments": [ "2008-145" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-08-63", "SubjectMatters": [] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Bernard Frere", "Location": "Columbus, OH", "TypeCode": "1829", "TypeDescription": "1829 Prohibition Notification", "Amount": "0.00", "StartDate": "03/05/2026", "StartDocuments": [ "2026-07" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Violation Cited (Criminal Statute)" ] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Roberto Garcia", "Location": "Columbus, OH", "TypeCode": "Notice", "TypeDescription": "Notice of Charges", "Amount": "0.00", "StartDate": "07/29/2024", "StartDocuments": [ "AA-ENF-2024-54N" ], "TerminationDate": "10/01/2024", "TerminationDocuments": [ "AA-ENF-2024-54T" ], "DocketNumber": "AA-ENF-2024-54", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Andrea Lynn Green", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "11/08/2006", "StartDocuments": [ "2006-146" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-06-76", "SubjectMatters": [] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Andrea Lynn Green", "Location": "Columbus, OH", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "4280.00", "StartDate": "11/08/2006", "StartDocuments": [ "2006-146" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-06-76", "SubjectMatters": [] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Anisha Greer", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "11/20/2018", "StartDocuments": [ "2018-109" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2018-60", "SubjectMatters": [ "Fraud/Forgery", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Alan Hardy", "Location": "Columbus, OH", "TypeCode": "1829", "TypeDescription": "1829 Prohibition Notification", "Amount": "0.00", "StartDate": "12/15/2025", "StartDocuments": [ "2025-17" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Violation Cited (Criminal Statute)" ] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Kyla Hartley", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "07/16/2025", "StartDocuments": [ "AA-ENF-2025-33" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2025-33", "SubjectMatters": [ "Fraud/Forgery", "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "James L. Hertz", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "05/21/2013", "StartDocuments": [ "2013-063" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2013-22", "SubjectMatters": [ "Breach of Fiduciary Duty", "Fraud/Forgery", "Insider Issues", "Trading & Securities", "Violation Cited (Criminal Statute)" ] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Dawn Howard", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "08/09/2012", "StartDocuments": [ "2012-201" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-11-93", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Alonso Ibarra", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "06/12/2025", "StartDocuments": [ "AA-ENF-2025-24" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2025-24", "SubjectMatters": [ "Fraud/Forgery", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Addisha Jackson", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "09/14/2021", "StartDocuments": [ "2021-046" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2021-22", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds", "Theft/Misappropriation of Customer Info", "Violation Cited (Criminal Statute)" ] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Addisha Jackson", "Location": "Columbus, OH", "TypeCode": "Notice", "TypeDescription": "Notice of Charges", "Amount": "0.00", "StartDate": "05/25/2021", "StartDocuments": [ "N21-002" ], "TerminationDate": "09/14/2021", "TerminationDocuments": [ "2021-046" ], "DocketNumber": "AA-EC-2021-22", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds", "Theft/Misappropriation of Customer Info", "Violation Cited (Criminal Statute)" ] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Cynthia Jenkins", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "06/02/2021", "StartDocuments": [ "2021-026" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2021-15", "SubjectMatters": [ "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Leronne Kornegay", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "09/16/2024", "StartDocuments": [ "AA-ENF-2024-67" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2024-67", "SubjectMatters": [ "Fraud/Forgery", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Cheung Lam", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "10/16/2023", "StartDocuments": [ "2023-045" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2023-38", "SubjectMatters": [ "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Andres David Majano", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "06/08/2020", "StartDocuments": [ "2020-034" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2020-37", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Angelica R. Martinez", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "12/01/2009", "StartDocuments": [ "2009-226" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-09-03", "SubjectMatters": [] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Cordia McDonald", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "06/04/2024", "StartDocuments": [ "AA-ENF-2024-46" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2024-46", "SubjectMatters": [ "Fraud/Forgery", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Roseann McSorley", "Location": "Columbus, OH", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "35000.00", "StartDate": "10/28/2019", "StartDocuments": [ "2019-060" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2019-49", "SubjectMatters": [ "Unauthorized Disclosure of OCC Information" ] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Matthew Moore", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "02/22/2011", "StartDocuments": [ "2011-027" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-10-73", "SubjectMatters": [] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Matthew Moore", "Location": "Columbus, OH", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "20000.00", "StartDate": "02/22/2011", "StartDocuments": [ "2011-027" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-10-73", "SubjectMatters": [] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Brett Nelson", "Location": "Columbus, OH", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "08/30/2010", "StartDocuments": [ "2010-187" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-10-76", "SubjectMatters": [] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Brett Nelson", "Location": "Columbus, OH", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000.00", "StartDate": "08/30/2010", "StartDocuments": [ "2010-187" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-10-76", "SubjectMatters": [] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Michael Nowak", "Location": "Columbus, OH", "TypeCode": "Suspension", "TypeDescription": "Suspension Order for Criminal Conduct", "Amount": "0.00", "StartDate": "11/07/2019", "StartDocuments": [ "N19-008" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2019-77", "SubjectMatters": [ "Fraud/Forgery", "Insider Issues", "Trading & Securities", "Trading Issues", "Violation Cited (Criminal Statute)" ] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Alejandro Ojeda", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "08/26/2015", "StartDocuments": [ "2015-100" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2015-46", "SubjectMatters": [ "Elder Abuse", "Insider Issues", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Kevin Jay Orona", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "10/11/2018", "StartDocuments": [ "2018-086" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2018-61", "SubjectMatters": [ "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Jimmy Paz", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "02/19/2021", "StartDocuments": [ "2021-011" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2021-5", "SubjectMatters": [ "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Wendell Pialet", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "11/20/2024", "StartDocuments": [ "AA-ENF-2024-92" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2024-92", "SubjectMatters": [ "Fraud/Forgery", "Insider Issues" ] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Sixto Porras", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "07/08/2025", "StartDocuments": [ "AA-ENF-2025-34" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2025-34", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Harold Pysadee", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "05/22/2023", "StartDocuments": [ "2023-013" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2023-20", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Guadalupe Rodriguez", "Location": "Columbus, OH", "TypeCode": "1829", "TypeDescription": "1829 Prohibition Notification", "Amount": "0.00", "StartDate": "02/24/2026", "StartDocuments": [ "2026-04" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Violation Cited (Criminal Statute)" ] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Jeffrey Ruffo", "Location": "Columbus, OH", "TypeCode": "Suspension", "TypeDescription": "Suspension Order for Criminal Conduct", "Amount": "0.00", "StartDate": "01/08/2020", "StartDocuments": [ "N20-003" ], "TerminationDate": "01/18/2023", "TerminationDocuments": [], "DocketNumber": "AA-EC-2019-95", "SubjectMatters": [ "Fraud/Forgery", "Insider Issues", "Trading & Securities", "Trading Issues", "Violation Cited (Criminal Statute)" ] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Kristina L. Scheel", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "10/09/2018", "StartDocuments": [ "2018-087" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2018-56", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Nicole M. Scherer", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "04/25/2011", "StartDocuments": [ "2011-086" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-11-35", "SubjectMatters": [] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Samantha Shassetz", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "07/05/2023", "StartDocuments": [ "2023-024" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2023-26", "SubjectMatters": [] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Gregg Smith", "Location": "Columbus, OH", "TypeCode": "Suspension", "TypeDescription": "Suspension Order for Criminal Conduct", "Amount": "0.00", "StartDate": "11/07/2019", "StartDocuments": [ "N19-009" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2019-77", "SubjectMatters": [ "Fraud/Forgery", "Insider Issues", "Trading & Securities", "Trading Issues", "Violation Cited (Criminal Statute)" ] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Rosa L. Solivan", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "01/28/2020", "StartDocuments": [ "2020-010" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2019-79", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Jarrod W. Tallman", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "09/29/2011", "StartDocuments": [ "2011-142" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-11-60", "SubjectMatters": [] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Victoria A. Toth", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "07/09/2010", "StartDocuments": [ "2010-221" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-09-45", "SubjectMatters": [] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Christian Trunz", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "01/30/2024", "StartDocuments": [ "AA-ENF-2024-04" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2024-04", "SubjectMatters": [ "Trading & Securities", "Violation Cited (Criminal Statute)" ] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Richard Usher", "Location": "Columbus, OH", "TypeCode": "Notice", "TypeDescription": "Notice of Charges", "Amount": "0.00", "StartDate": "08/11/2020", "StartDocuments": [ "N20-007" ], "TerminationDate": "07/08/2021", "TerminationDocuments": [ "2021-048" ], "DocketNumber": "AA-EC-2017-3", "SubjectMatters": [ "Breach of Fiduciary Duty", "Foreign Exchange (FX)", "Trading & Securities", "Trading Issues" ] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Richard Usher", "Location": "Columbus, OH", "TypeCode": "Notice", "TypeDescription": "Notice of Charges", "Amount": "0.00", "StartDate": "01/09/2017", "StartDocuments": [ "N17-002" ], "TerminationDate": "07/08/2021", "TerminationDocuments": [ "N20-007", "2021-048" ], "DocketNumber": "AA-EC-2017-3", "SubjectMatters": [ "Breach of Fiduciary Duty", "Foreign Exchange (FX)", "Trading & Securities", "Violation Cited (Other)" ] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Sarah N. Warden", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "05/11/2011", "StartDocuments": [ "2011-087" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-11-47", "SubjectMatters": [] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Eric Wheeler", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "08/30/2010", "StartDocuments": [ "2010-188" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-10-72", "SubjectMatters": [] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Eric Wheeler", "Location": "Columbus, OH", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "16000.00", "StartDate": "08/30/2010", "StartDocuments": [ "2010-188" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-10-72", "SubjectMatters": [] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Michael Wilhoite", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "06/02/2022", "StartDocuments": [ "2022-013" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2019-30", "SubjectMatters": [ "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Dyemond Williams", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "04/01/2026", "StartDocuments": [ "AA-ENF-2025-54" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2025-54", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Mirsha Wilson", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "01/09/2024", "StartDocuments": [ "AA-ENF-2023-67" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2023-67", "SubjectMatters": [ "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Alexander W. Wright", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "05/21/2013", "StartDocuments": [ "2013-064" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2013-23", "SubjectMatters": [ "Breach of Fiduciary Duty", "Insider Issues", "Trading & Securities", "Violation Cited (Criminal Statute)" ] }, { "Institution": "JPMorgan Chase Bank, National Association", "CharterNumber": "8", "Company": "", "Individual": "Nick Zatikian", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "03/11/2025", "StartDocuments": [ "AA-ENF-2025-03" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2025-03", "SubjectMatters": [ "Fraud/Forgery", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "Kansas National Bank And Trust Company", "CharterNumber": "15745", "Company": "", "Individual": "", "Location": "Prairie Village, KS", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "11/21/1991", "StartDocuments": [ "427" ], "TerminationDate": "02/05/1993", "TerminationDocuments": [ "93-79" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Ken-Caryl National Bank", "CharterNumber": "17296", "Company": "", "Individual": "", "Location": "Littleton, CO", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "06/17/1992", "StartDocuments": [ "612" ], "TerminationDate": "03/01/1993", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Kennett National Bank", "CharterNumber": "15155", "Company": "", "Individual": "", "Location": "Kennett, MO", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "10/09/2003", "StartDocuments": [ "2003-171" ], "TerminationDate": "12/08/2005", "TerminationDocuments": [ "2005-184" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Kentland FS & LA", "CharterNumber": "702228", "Company": "", "Individual": "", "Location": "Kentland, IN", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "04/10/2023", "StartDocuments": [ "2023-008" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-CE-2023-5", "SubjectMatters": [ "Audit", "Capital", "Consumer Law", "Liquidity", "Sensitivity to Market Risk", "Strategic Planning", "TILA/RESPA" ] }, { "Institution": "Key Bank USA, National Association", "CharterNumber": "22908", "Company": "", "Individual": "Aaleldin M. Khirawi", "Location": "Bedford, NH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "05/16/2001", "StartDocuments": [ "2001-52" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Key Bank USA, National Association", "CharterNumber": "22908", "Company": "", "Individual": "Joey A. Marcano", "Location": "Cleveland, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "10/09/2003", "StartDocuments": [ "2003-127" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-02-28", "SubjectMatters": [] }, { "Institution": "Key Florida Bank, A FSB", "CharterNumber": "708330", "Company": "", "Individual": "A. George Igler", "Location": "Bradenton, FL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "08/05/1997", "StartDocuments": [ "ATL-97-3" ], "TerminationDate": "04/08/2021", "TerminationDocuments": [ "2021-022" ], "DocketNumber": "OTS Order No. ATL-97-3", "SubjectMatters": [] }, { "Institution": "Key Florida Bank, A FSB", "CharterNumber": "708330", "Company": "", "Individual": "John G. Kuykendall", "Location": "Bradenton, FL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "12/14/1995", "StartDocuments": [ "ATL-95-13" ], "TerminationDate": "03/24/2020", "TerminationDocuments": [ "2020-019" ], "DocketNumber": "AA-SO-2020-18", "SubjectMatters": [] }, { "Institution": "Keybank National Association", "CharterNumber": "14761", "Company": "", "Individual": "", "Location": "Cleveland, OH", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5005.00", "StartDate": "01/15/2015", "StartDocuments": [ "2015-005" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2014-117", "SubjectMatters": [ "Consumer Law", "Flood Insurance" ] }, { "Institution": "Keybank National Association", "CharterNumber": "14761", "Company": "", "Individual": "", "Location": "Cleveland, OH", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "27750.00", "StartDate": "07/27/2007", "StartDocuments": [ "2007-104" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-07-46", "SubjectMatters": [] }, { "Institution": "Keybank National Association", "CharterNumber": "14761", "Company": "", "Individual": "", "Location": "Cleveland, OH", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "10/17/2005", "StartDocuments": [ "2005-141" ], "TerminationDate": "06/27/2007", "TerminationDocuments": [ "2007-064" ], "DocketNumber": "AA-EC-05-85", "SubjectMatters": [] }, { "Institution": "Keybank National Association", "CharterNumber": "14761", "Company": "", "Individual": "Jayna N. Emerick", "Location": "Cleveland, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "09/09/2002", "StartDocuments": [ "2002-85" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Keybank National Association", "CharterNumber": "14761", "Company": "", "Individual": "Jayna N. Emerick", "Location": "Cleveland, OH", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "5000.00", "StartDate": "09/09/2002", "StartDocuments": [ "2002-85" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Keybank National Association", "CharterNumber": "14761", "Company": "", "Individual": "Mark E. Pappas", "Location": "Cleveland, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "01/13/2009", "StartDocuments": [ "2009-006" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-08-85", "SubjectMatters": [] }, { "Institution": "Keybank National Association", "CharterNumber": "14761", "Company": "", "Individual": "Cynthia Rowe", "Location": "Cleveland, OH", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "40000.00", "StartDate": "04/28/2003", "StartDocuments": [ "2003-167" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-02-13", "SubjectMatters": [] }, { "Institution": "Keybank National Association", "CharterNumber": "14761", "Company": "", "Individual": "Cynthia Rowe", "Location": "Cleveland, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "02/13/2003", "StartDocuments": [ "2003-177" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-02-13", "SubjectMatters": [] }, { "Institution": "Keybank National Association", "CharterNumber": "14761", "Company": "", "Individual": "Seyria T. Smith", "Location": "Cleveland, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "08/20/2008", "StartDocuments": [ "2008-103" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-08-02", "SubjectMatters": [] }, { "Institution": "Keybank National Association", "CharterNumber": "14761", "Company": "", "Individual": "Seyria T. Smith", "Location": "Cleveland, OH", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "9000.00", "StartDate": "08/20/2008", "StartDocuments": [ "2008-103" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-08-02", "SubjectMatters": [] }, { "Institution": "Keybank National Association", "CharterNumber": "14761", "Company": "", "Individual": "David F. Verhotz", "Location": "Cleveland, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "04/20/2007", "StartDocuments": [ "2007-044" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-07-01", "SubjectMatters": [] }, { "Institution": "Keycorp", "CharterNumber": "500059", "Company": "", "Individual": "Michelle V. Horne", "Location": "Cleveland, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "07/28/2003", "StartDocuments": [ "2003-91" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Keycorp", "CharterNumber": "500059", "Company": "", "Individual": "Michelle V. 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"Location": "Dunkirk, NY", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "02/09/2023", "StartDocuments": [ "2023-002" ], "TerminationDate": "12/03/2024", "TerminationDocuments": [ "AA-NE-2024-104" ], "DocketNumber": "AA-NE-2023-03", "SubjectMatters": [ "Audit", "Board / Management Oversight", "BSA Internal Controls", "BSA Officer", "BSA Pillar Violation / 12 CFR 21.21(d)", "BSA Risk Assessment", "BSA SAR Violation / 12 CFR 21.11 or 163.180", "BSA Violation Cited", "BSA/AML", "Customer/Enhanced Due Diligence (CDD/EDD)", "Enterprise Governance / Internal Controls / General Risk Management", "General IT Controls", "GLBA (12 CFR 30, Appx B)", "Information Technology", "Internal Audit", "Noncompliance with Enforcement Action", "SAR/CTR Monitoring/Filing Issue", "Strategic Planning" ] }, { "Institution": "Lake Shore Savings Bank", "CharterNumber": "705506", "Company": "", "Individual": "", 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"02/28/2014", "TerminationDocuments": [ "2014-039" ], "DocketNumber": "AA-EC-11-43", "SubjectMatters": [] }, { "Institution": "Landmark Bank, National Association", "CharterNumber": "23658", "Company": "", "Individual": "", "Location": "Fort Lauderdale, FL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "06/17/2010", "StartDocuments": [ "2010-143" ], "TerminationDate": "09/16/2011", "TerminationDocuments": [ "2011-147" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Landmark Bank, National Association", "CharterNumber": "23528", "Company": "", "Individual": "Wesley D. 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Reg W)", "Allowance for Losses (ALLL / ACL)", "Appraisals", "Asset Quality", "Audit", "Board / Management Oversight", "Capital", "Compensation", "Concentration Risk Management", "Credit/Collateral Exceptions", "External Audit", "Insider Issues", "Internal Audit", "Lending Issues", "Loan Review", "Loans to Insiders (incl. Reg O)", "OREO", "Problem Loan Identification", "Strategic Planning" ] }, { "Institution": "Landmark Community Bank, National Association", "CharterNumber": "23193", "Company": "", "Individual": "", "Location": "Isanti, MN", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "06/26/2008", "StartDocuments": [ "2008-084" ], "TerminationDate": "11/21/2013", "TerminationDocuments": [ "2013-176" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Landmark Community Bank, National Association", "CharterNumber": "23193", "Company": "", "Individual": "Craig Bjorklund", "Location": "Isanti, MN", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "10/26/2016", "StartDocuments": [ "2016-096" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2016-56", "SubjectMatters": [ "Breach of Fiduciary Duty", "Capital", "Compensation", "False Statements / Obstruction", "Insider Issues", "Licensing Issues", "Noncompliance with Enforcement Action" ] }, { "Institution": "Landmark Community Bank, National Association", "CharterNumber": "23193", "Company": "", "Individual": "Craig Bjorklund", "Location": "Isanti, MN", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "10/26/2016", "StartDocuments": [ "2016-096" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2016-56", "SubjectMatters": [ "Breach of Fiduciary Duty", "Capital", "Compensation", "False Statements / Obstruction", "Insider Issues", "Licensing Issues", "Noncompliance with Enforcement Action" ] }, { "Institution": "Landmark Community Bank, National Association", "CharterNumber": "23193", "Company": "", "Individual": "Craig Bjorklund", "Location": "Isanti, MN", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "45000.00", "StartDate": "10/26/2016", "StartDocuments": [ "2016-096" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2016-56", "SubjectMatters": [ "Breach of Fiduciary Duty", "Capital", "Compensation", "False Statements / Obstruction", "Insider Issues", "Licensing Issues", "Noncompliance with Enforcement Action" ] }, { "Institution": "Landmark Community Bank, National Association", "CharterNumber": "23193", "Company": "", "Individual": "Craig Bjorklund", "Location": "Isanti, MN", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "9390.00", "StartDate": "10/26/2016", "StartDocuments": [ "2016-096" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2016-56", "SubjectMatters": [ "Breach of Fiduciary Duty", "Capital", "Compensation", "False Statements / Obstruction", "Insider Issues", "Licensing Issues", "Noncompliance with Enforcement Action" ] }, { "Institution": "Landmark Community Bank, National Association", "CharterNumber": "23193", "Company": "", "Individual": "David Johnson", "Location": "Isanti, MN", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "09/06/2016", "StartDocuments": [ "2016-086" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2016-54", "SubjectMatters": [ "Breach of Fiduciary Duty", "Capital", "Compensation", "False Statements / Obstruction", "Insider Issues", "Licensing Issues", "Noncompliance with Enforcement Action", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Landmark Community Bank, National Association", "CharterNumber": "23193", "Company": "", "Individual": "David Johnson", "Location": "Isanti, MN", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "09/06/2016", "StartDocuments": [ "2016-086" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2016-54", "SubjectMatters": [ "Breach of Fiduciary Duty", "Capital", "Compensation", "False Statements / Obstruction", "Insider Issues", "Licensing Issues", "Noncompliance with Enforcement Action", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Landmark Community Bank, National Association", "CharterNumber": "23193", "Company": "", "Individual": "David Johnson", "Location": "Isanti, MN", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "20000.00", "StartDate": "09/06/2016", "StartDocuments": [ "2016-086" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2016-54", "SubjectMatters": [ "Breach of Fiduciary Duty", "Capital", "Compensation", "False Statements / Obstruction", "Insider Issues", "Licensing Issues", "Noncompliance with Enforcement Action", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Landmark Community Bank, National Association", "CharterNumber": "23193", "Company": "", "Individual": "David Johnson", "Location": "Isanti, MN", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "9390.00", "StartDate": "09/06/2016", "StartDocuments": [ "2016-086" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2016-54", "SubjectMatters": [ "Breach of Fiduciary Duty", "Capital", "Compensation", "False Statements / Obstruction", "Insider Issues", "Licensing Issues", "Noncompliance with Enforcement Action", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Landmark Community Bank, National Association", "CharterNumber": "23193", "Company": "", "Individual": "Kevin Johnson", "Location": "Isanti, MN", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "10/04/2016", "StartDocuments": [ "2016-102" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2016-53", "SubjectMatters": [ "Breach of Fiduciary Duty", "Capital", "Compensation", "False Statements / Obstruction", "Insider Issues", "Investment/Other than Temporary Impairment", "Lending Issues", "Licensing Issues", "Loans to Insiders (incl. Reg O)", "Noncompliance with Enforcement Action", "Other Lending Deficiencies", "Overdrafts", "Trading & Securities", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Landmark Community Bank, National Association", "CharterNumber": "23193", "Company": "", "Individual": "Kevin Johnson", "Location": "Isanti, MN", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "10000.00", "StartDate": "10/04/2016", "StartDocuments": [ "2016-102" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2016-53", "SubjectMatters": [ "Breach of Fiduciary Duty", "Capital", "Compensation", "False Statements / Obstruction", "Insider Issues", "Investment/Other than Temporary Impairment", "Lending Issues", "Licensing Issues", "Loans to Insiders (incl. Reg O)", "Noncompliance with Enforcement Action", "Other Lending Deficiencies", "Overdrafts", "Trading & Securities", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Landmark Community Bank, National Association", "CharterNumber": "23193", "Company": "", "Individual": "T.Ryan Johnson", "Location": "Isanti, MN", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "12/01/2016", "StartDocuments": [ "2016-103" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2016-55", "SubjectMatters": [ "Breach of Fiduciary Duty", "Capital", "Compensation", "False Statements / Obstruction", "Insider Issues", "Licensing Issues", "Noncompliance with Enforcement Action" ] }, { "Institution": "Landmark Community Bank, National Association", "CharterNumber": "23193", "Company": "", "Individual": "T.Ryan Johnson", "Location": "Isanti, MN", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "12/01/2016", "StartDocuments": [ "2016-103" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2016-55", "SubjectMatters": [ "Breach of Fiduciary Duty", "Capital", "Compensation", "False Statements / Obstruction", "Insider Issues", "Licensing Issues", "Noncompliance with Enforcement Action" ] }, { "Institution": "Landmark Community Bank, National Association", "CharterNumber": "23193", "Company": "", "Individual": "T.Ryan Johnson", "Location": "Isanti, MN", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000.00", "StartDate": "12/01/2016", "StartDocuments": [ "2016-103" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2016-55", "SubjectMatters": [ "Breach of Fiduciary Duty", "Capital", "Compensation", "False Statements / Obstruction", "Insider Issues", "Licensing Issues", "Noncompliance with Enforcement Action" ] }, { "Institution": "Landmark Community Bank, National Association", "CharterNumber": "23193", "Company": "", "Individual": "T.Ryan Johnson", "Location": "Isanti, MN", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "9390.00", "StartDate": "12/01/2016", "StartDocuments": [ "2016-103" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2016-55", "SubjectMatters": [ "Breach of Fiduciary Duty", "Capital", "Compensation", "False Statements / Obstruction", "Insider Issues", "Licensing Issues", "Noncompliance with Enforcement Action" ] }, { "Institution": "Landmark Community Bank, National Association", "CharterNumber": "23193", "Company": "", "Individual": "Valerian Kuechle", "Location": "Isanti, MN", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "10/26/2016", "StartDocuments": [ "2016-097" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2016-57", "SubjectMatters": [ "Breach of Fiduciary Duty", "Capital", "Compensation", "False Statements / Obstruction", "Insider Issues", "Licensing Issues", "Noncompliance with Enforcement Action" ] }, { "Institution": "Landmark Community Bank, National Association", "CharterNumber": "23193", "Company": "", "Individual": "Valerian Kuechle", "Location": "Isanti, MN", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "10/26/2016", "StartDocuments": [ "2016-097" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2016-57", "SubjectMatters": [ "Breach of Fiduciary Duty", "Capital", "Compensation", "False Statements / Obstruction", "Insider Issues", "Licensing Issues", "Noncompliance with Enforcement Action" ] }, { "Institution": "Landmark Community Bank, National Association", "CharterNumber": "23193", "Company": "", "Individual": "Valerian Kuechle", "Location": "Isanti, MN", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "45000.00", "StartDate": "10/26/2016", "StartDocuments": [ "2016-097" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2016-57", "SubjectMatters": [ "Breach of Fiduciary Duty", "Capital", "Compensation", "False Statements / Obstruction", "Insider Issues", "Licensing Issues", "Noncompliance with Enforcement Action" ] }, { "Institution": "Landmark Community Bank, National Association", "CharterNumber": "23193", "Company": "", "Individual": "Valerian Kuechle", "Location": "Isanti, MN", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "9390.00", "StartDate": "10/26/2016", "StartDocuments": [ "2016-097" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2016-57", "SubjectMatters": [ "Breach of Fiduciary Duty", "Capital", "Compensation", "False Statements / Obstruction", "Insider Issues", "Licensing Issues", "Noncompliance with Enforcement Action" ] }, { "Institution": "Laredo National Bank", "CharterNumber": "5001", "Company": "", "Individual": "Gary G. Jacobs", "Location": "Laredo, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "25000.00", "StartDate": "10/01/1999", "StartDocuments": [ "99-120" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Lasalle Bank MidWest National Association", "CharterNumber": "16660", "Company": "", "Individual": "", "Location": "Troy, MI", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "125000.00", "StartDate": "01/05/2007", "StartDocuments": [ "2007-002" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-06-122", "SubjectMatters": [] }, { "Institution": "Lasalle Bank MidWest National Association", "CharterNumber": "16660", "Company": "", "Individual": "John B. Collins", "Location": "Troy, MI", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "08/15/2007", "StartDocuments": [ "2007-096" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-07-36", "SubjectMatters": [] }, { "Institution": "Lasalle Bank MidWest National Association", "CharterNumber": "16660", "Company": "", "Individual": "John B. 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"Company": "", "Individual": "Jane Chu", "Location": "Carson, CA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "03/05/2018", "StartDocuments": [ "2018-021" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2017-76", "SubjectMatters": [ "Affiliate Transactions (incl. 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"DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Monument National Bank", "CharterNumber": "18156", "Company": "", "Individual": "", "Location": "Ridgecrest, CA", "TypeCode": "PCAD", "TypeDescription": "Prompt Corrective Action (PCA) Directive", "Amount": "0.00", "StartDate": "09/01/1998", "StartDocuments": [ "98-51" ], "TerminationDate": "06/02/2000", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Monument National Bank", "CharterNumber": "18156", "Company": "", "Individual": "Ward Harrington", "Location": "Ridgecrest, CA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "03/31/1999", "StartDocuments": [ "99-117" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-98-18", "SubjectMatters": [] }, { "Institution": "Monument National Bank", "CharterNumber": "18156", "Company": "", "Individual": "Ward Harrington", "Location": "Ridgecrest, CA", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "225000.00", "StartDate": "03/31/1999", "StartDocuments": [ "99-117" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Monument National Bank", "CharterNumber": "18156", "Company": "", "Individual": "Jack Noyer", "Location": "Ridgecrest, CA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "03/31/1999", "StartDocuments": [ "99-118" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-98-18", "SubjectMatters": [] }, { "Institution": "Monument National Bank", "CharterNumber": "18156", "Company": "", "Individual": "Jack Noyer", "Location": "Ridgecrest, CA", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "70000.00", "StartDate": "03/31/1999", "StartDocuments": [ "99-118" ], "TerminationDate": "", "TerminationDocuments": 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Conner", "Location": "Dallas, TX", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "12/09/1996", "StartDocuments": [ "96-76" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Nationsbank, N.A.", "CharterNumber": "21834", "Company": "", "Individual": "Carlos Ferguson", "Location": "Dallas, TX", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "03/05/1998", "StartDocuments": [ "98-16" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Nationsbank, N.A.", "CharterNumber": "14448", "Company": "", "Individual": "Lisa H. 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Wroble", "Location": "Charlotte, NC", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "04/30/1998", "StartDocuments": [ "98-25" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Nationsbank, N.A.", "CharterNumber": "14448", "Company": "NationsSecurities, Inc.", "Individual": "", "Location": "Charlotte, NC", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "750000.00", "StartDate": "04/30/1998", "StartDocuments": [ "98-24" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Native American Bank, National Association", "CharterNumber": "21158", "Company": "", "Individual": "", "Location": "Denver, CO", "TypeCode": "CD", "TypeDescription": "Capital Directive", "Amount": "0.00", "StartDate": "03/12/2010", "StartDocuments": [ "2010-090" ], "TerminationDate": "05/18/2016", "TerminationDocuments": [ "2016-065" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Native American Bank, National Association", "CharterNumber": "21158", "Company": "", "Individual": "", "Location": "Denver, CO", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "08/18/2008", "StartDocuments": [ "2008-094" ], "TerminationDate": "05/18/2016", "TerminationDocuments": [ "2016-064" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Native American Bank, National Association", "CharterNumber": "21158", "Company": "", "Individual": "", "Location": "Browning, MT", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "04/15/2003", "StartDocuments": [ "2003-49" ], "TerminationDate": "03/08/2007", "TerminationDocuments": [ "2007-032" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Natwest Bank, National Association", "CharterNumber": "374", "Company": "", "Individual": "Bienvenido Pimental", "Location": "Jersey City, NJ", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "10/10/1996", "StartDocuments": [ "96-83" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-96-16", "SubjectMatters": [] }, { "Institution": "Naugatuck Valley Savings and Loan", "CharterNumber": "717983", "Company": "", "Individual": "", "Location": "Naugatuck, CT", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "01/17/2012", "StartDocuments": [ "2012-009" ], "TerminationDate": "05/04/2015", "TerminationDocuments": [ "2015-053" ], "DocketNumber": "", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Appraisals", "Asset Quality", "Audit", "Board / Management Oversight", "BSA Risk Assessment", "BSA/AML", "Capital", "Compensation", "Concentration Risk Management", "Credit/Collateral Exceptions", "Enterprise Governance / Internal Controls / General Risk Management", "Insider Issues", "Internal Audit", "Lending Issues", "Loan Review", "OFAC Compliance Issue", "Other Lending Deficiencies", "Overdrafts", "Problem Loan Identification", "Strategic Planning", "Violation Cited (Other)" ] }, { "Institution": "Nbad Americas N.V .", "CharterNumber": "80016", "Company": "", "Individual": "", "Location": "Washington, DC", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "02/13/2017", "StartDocuments": [ "2017-014" ], "TerminationDate": "10/09/2020", "TerminationDocuments": [ "2020-066" ], "DocketNumber": "AA-EC-2017-10", "SubjectMatters": [ "BSA Independent Testing/Audit", "BSA Internal Controls", "BSA Officer", "BSA Program Violation / 12 CFR 21.21", "BSA Risk Assessment", "BSA SAR Violation / 12 CFR 21.11 or 163.180", "BSA Training", "BSA Violation Cited", "BSA/AML", "Customer/Enhanced Due Diligence (CDD/EDD)", "OFAC Compliance Issue", "SAR/CTR Monitoring/Filing Issue" ] }, { "Institution": "NBank, National Association", "CharterNumber": "7431", "Company": "", "Individual": "Ronald Walton", "Location": "Commerce, GA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "03/16/2007", "StartDocuments": [ "2007-028" ], "TerminationDate": "06/25/2007", "TerminationDocuments": [], "DocketNumber": "AA-EC-06-116", "SubjectMatters": [] }, { "Institution": "NBC Bank - Eagle Pass, National Association", "CharterNumber": "4490", "Company": "", "Individual": "", "Location": "Eagle Pass, TX", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "05/15/1992", "StartDocuments": [ "568" ], "TerminationDate": "03/19/1993", "TerminationDocuments": [ "93-82" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "NBC Bank - Eagle Pass, National Association", "CharterNumber": "4490", "Company": "", "Individual": "", "Location": "Eagle Pass, TX", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "12/09/1991", "StartDocuments": [ "567" ], "TerminationDate": "05/15/1992", "TerminationDocuments": [ "568" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "NBC Bank - Laredo, National Association", "CharterNumber": "16127", "Company": "", "Individual": "", "Location": "Laredo, TX", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "10/31/1991", "StartDocuments": [ "412" ], "TerminationDate": "07/21/1993", "TerminationDocuments": [ "93-202" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Nbd Bank, N. A.", "CharterNumber": "14468", "Company": "", "Individual": "Melissa Miller", "Location": "Merrilville, IN", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "04/21/1997", "StartDocuments": [ "97-24" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Nbd Bank, N.A.", "CharterNumber": "984", "Company": "", "Individual": "Cheryl Carrell", "Location": "Indianapolis, IN", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "07/17/1997", "StartDocuments": [ "97-45" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Nbd Bank, National Association", "CharterNumber": "984", "Company": "", "Individual": "Stacey M. Howard", "Location": "Indianapolis, IN", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "01/26/1998", "StartDocuments": [ "98-2" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Nbd Bank, National Association.", "CharterNumber": "984", "Company": "", "Individual": "Kerri F. Schwomeyer", "Location": "Indianapolis, IN", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "12/05/1997", "StartDocuments": [ "97-87" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "NBT Bank, National Association", "CharterNumber": "1354", "Company": "", "Individual": "Laura Mathein", "Location": "Norwich, NY", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "08/01/2011", "StartDocuments": [ "2011-141" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-11-64", "SubjectMatters": [] }, { "Institution": "NBT Bank, National Association", "CharterNumber": "1354", "Company": "", "Individual": "Lance D. Mattingly", "Location": "Norwich, NY", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "06/08/2006", "StartDocuments": [ "2006-66" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-06-45", "SubjectMatters": [] }, { "Institution": "NBT Bank, National Association", "CharterNumber": "1354", "Company": "", "Individual": "Stephanie Sanders", "Location": "Norwich, NY", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "04/16/2024", "StartDocuments": [ "AA-ENF-2023-35" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2023-35", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "NBT Bank, National Association", "CharterNumber": "1354", "Company": "", "Individual": "Stephen Souky", "Location": "Norwich, NY", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "03/20/2009", "StartDocuments": [ "2009-037" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-08-76", "SubjectMatters": [] }, { "Institution": "NBT Bank, National Association", "CharterNumber": "1354", "Company": "", "Individual": "Stephen Souky", "Location": "Norwich, NY", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "03/20/2009", "StartDocuments": [ "2009-037" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-08-76", "SubjectMatters": [] }, { "Institution": "NBT Bank, National Association", "CharterNumber": "1354", "Company": "", "Individual": "Karla Vanderneut", "Location": "Norwich, NY", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "02/05/2025", "StartDocuments": [ "AA-NE-2024-105" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-NE-2024-105", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "Ncb, FSB", "CharterNumber": "708527", "Company": "", "Individual": "", "Location": "Hillsboro, OH", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "03/15/2010", "StartDocuments": [ "SA" ], "TerminationDate": "08/02/2012", "TerminationDocuments": [ "2012-209" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Nebraska National Bank", "CharterNumber": "22849", "Company": "", "Individual": "", "Location": "Kearney, NE", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "10/14/1999", "StartDocuments": [ "99-78" ], "TerminationDate": "11/07/2002", "TerminationDocuments": [ "2002-137" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Nebraskaland National Bank", "CharterNumber": "23645", "Company": "", "Individual": "Rhonda L. Anderson", "Location": "North Platte, NE", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "01/14/2015", "StartDocuments": [ "2015-007" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2014-112", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Nebraskaland National Bank", "CharterNumber": "23645", "Company": "", "Individual": "Justin D. Schwartz", "Location": "North Platte, NE", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "05/22/2018", "StartDocuments": [ "2018-037" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2018-29", "SubjectMatters": [ "Breach of Fiduciary Duty", "Fraud/Forgery", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Lending Issues", "Other Lending Deficiencies", "Trading & Securities", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Nebraskaland National Bank", "CharterNumber": "23645", "Company": "", "Individual": "Justin D. Schwartz", "Location": "North Platte, NE", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000.00", "StartDate": "05/22/2018", "StartDocuments": [ "2018-037" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2018-29", "SubjectMatters": [ "Breach of Fiduciary Duty", "Fraud/Forgery", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Lending Issues", "Other Lending Deficiencies", "Trading & Securities", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Neighborhood National Bank", "CharterNumber": "22770", "Company": "", "Individual": "", "Location": "San Diego, CA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "11/19/2001", "StartDocuments": [ "2001-105" ], "TerminationDate": "10/31/2002", "TerminationDocuments": [ "2002-124" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Neighborhood National Bank", "CharterNumber": "22770", "Company": "", "Individual": "", "Location": "San Diego, CA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "100000.00", "StartDate": "06/23/2020", "StartDocuments": [ "2020-029" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2020-15", "SubjectMatters": [ "BSA Program Violation / 12 CFR 21.21", "BSA SAR Violation / 12 CFR 21.11 or 163.180", "BSA Violation Cited", "BSA/AML", "Noncompliance with Enforcement Action", "SAR/CTR Monitoring/Filing Issue" ] }, { "Institution": "Neighborhood National Bank", "CharterNumber": "22770", "Company": "", "Individual": "", "Location": "San Diego, CA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "03/24/2016", "StartDocuments": [ "2016-035" ], "TerminationDate": "09/07/2022", "TerminationDocuments": [ "2022-045" ], "DocketNumber": "AA-EC-2016-24", "SubjectMatters": [ "Board / Management Oversight", "BSA Independent Testing/Audit", "BSA Internal Controls", "BSA Officer", "BSA Program Violation / 12 CFR 21.21", "BSA Risk Assessment", "BSA Training", "BSA Violation Cited", "BSA/AML", "Capital", "Customer/Enhanced Due Diligence (CDD/EDD)", "SAR/CTR Monitoring/Filing Issue", "Strategic Planning" ] }, { "Institution": "Neighborhood National Bank", "CharterNumber": "24223", "Company": "", "Individual": "", "Location": "Alexandria, MN", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "02/16/2011", "StartDocuments": [ "2011-024" ], "TerminationDate": "01/14/2013", "TerminationDocuments": [ "2013-118" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Neighborhood National Bank", "CharterNumber": "22770", "Company": "", "Individual": "", "Location": "San Diego, CA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "04/12/2010", "StartDocuments": [ "2010-069" ], "TerminationDate": "03/24/2016", "TerminationDocuments": [ "2016-035" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Neighborhood National Bank", "CharterNumber": "24223", "Company": "", "Individual": "", "Location": "Alexandria, MN", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "01/20/2010", "StartDocuments": [ "2010-006" ], "TerminationDate": "02/16/2011", "TerminationDocuments": [ "2011-042" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Net First National Bank", "CharterNumber": "20923", "Company": "", "Individual": "", "Location": "Boca Raton, FL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "09/25/2000", "StartDocuments": [ "2000-88" ], "TerminationDate": "03/01/2002", "TerminationDocuments": [], "DocketNumber": "AA-EC-2000-46", "SubjectMatters": [] }, { "Institution": "Nevada National Bank", "CharterNumber": "24682", "Company": "", "Individual": "", "Location": "Las Vegas, NV", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "08/26/2010", "StartDocuments": [ "2010-191" ], "TerminationDate": "06/15/2013", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "New Atlantic Bank, N.A.", "CharterNumber": "22155", "Company": "", "Individual": "", "Location": "Norfolk, VA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "08/04/1992", "StartDocuments": [ "687" ], "TerminationDate": "08/12/1993", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "New Atlantic Bank, National Association", "CharterNumber": "22155", "Company": "", "Individual": "", "Location": "Norfolk, VA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "05/23/1991", "StartDocuments": [ "278" ], "TerminationDate": "08/04/1992", "TerminationDocuments": [ "687" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "New Richmond National Bank", "CharterNumber": "7542", "Company": "", "Individual": "", "Location": "New Richmond, OH", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "10/25/1991", "StartDocuments": [ "391" ], "TerminationDate": "09/10/1992", "TerminationDocuments": [ "721" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "New Richmond National Bank", "CharterNumber": "7542", "Company": "", "Individual": "Mark D. Dunlap", "Location": "New Richmond, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "01/06/1992", "StartDocuments": [ "468" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-91-175", "SubjectMatters": [] }, { "Institution": "New Richmond National Bank", "CharterNumber": "7542", "Company": "", "Individual": "Mark D. Dunlap", "Location": "New Richmond, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "01/06/1992", "StartDocuments": [ "927" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-91-175", "SubjectMatters": [] }, { "Institution": "New York National Bank", "CharterNumber": "17197", "Company": "", "Individual": "", "Location": "New York, NY", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "07/29/1991", "StartDocuments": [ "330" ], "TerminationDate": "03/30/1994", "TerminationDocuments": [ "94-258" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "New York National Bank", "CharterNumber": "17197", "Company": "", "Individual": "", "Location": "Bronx, NY", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "10/22/2004", "StartDocuments": [ "2004-132" ], "TerminationDate": "01/01/2006", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "New York National Bank", "CharterNumber": "17197", "Company": "", "Individual": "", "Location": "Bronx, NY", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "02/18/2004", "StartDocuments": [ "2004-17" ], "TerminationDate": "01/01/2006", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "New York National Bank", "CharterNumber": "17197", "Company": "", "Individual": "Antenor Adam", "Location": "Bronx, NY", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "12/12/2005", "StartDocuments": [ "2005-168" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-NE-05-88", "SubjectMatters": [] }, { "Institution": "New York National Bank", "CharterNumber": "17197", "Company": "", "Individual": "Irving Klein", "Location": "Bronx, NY", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "12/12/2005", "StartDocuments": [ "2005-169" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-NE-05-89", "SubjectMatters": [] }, { "Institution": "New York National Bank", "CharterNumber": "17197", "Company": "", "Individual": "Serafin U. Mariel", "Location": "Bronx, NY", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "12500.00", "StartDate": "12/19/2005", "StartDocuments": [ "2005-187" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-NE-05-94", "SubjectMatters": [] }, { "Institution": "New York National Bank", "CharterNumber": "17197", "Company": "", "Individual": "Samuel Munroe", "Location": "Bronx, NY", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "12/12/2005", "StartDocuments": [ "2005-170" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "New York National Bank", "CharterNumber": "17197", "Company": "", "Individual": "Emilio Serrano", "Location": "Bronx, NY", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2500.00", "StartDate": "12/12/2005", "StartDocuments": [ "2005-171" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-NE-05-91", "SubjectMatters": [] }, { "Institution": "New York National Bank", "CharterNumber": "17197", "Company": "", "Individual": "Andrew Velez", "Location": "Bronx, NY", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "15000.00", "StartDate": "02/14/2006", "StartDocuments": [ "2006-14" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-NE-06-03", "SubjectMatters": [] }, { "Institution": "Newfirst National Bank", "CharterNumber": "6112", "Company": "", "Individual": "James A. Vincek", "Location": "El Campo, TX", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "11/26/2018", "StartDocuments": [ "2018-094" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2018-67", "SubjectMatters": [ "Breach of Fiduciary Duty", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "Newton Federal Bank", "CharterNumber": "703575", "Company": "", "Individual": "", "Location": "Covington, GA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "05/29/2012", "StartDocuments": [ "2012-135" ], "TerminationDate": "04/14/2015", "TerminationDocuments": [ "2015-039" ], "DocketNumber": "", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Appraisals", "Asset Quality", "Concentration Risk Management", "Credit/Collateral Exceptions", "Lending Issues", "OREO", "Other Lending 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Issues", "Lending Issues", "Other Lending Deficiencies" ] }, { "Institution": "Noble Bank & Trust, National Association", "CharterNumber": "24606", "Company": "", "Individual": "Lindsay Smith", "Location": "Anniston, AL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3500.00", "StartDate": "09/04/2013", "StartDocuments": [ "2013-164" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2013-52", "SubjectMatters": [ "Breach of Fiduciary Duty", "Fraud/Forgery", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Lending Issues", "Other Lending Deficiencies" ] }, { "Institution": "North American Savings Bank, FSB", "CharterNumber": "703927", "Company": "", "Individual": "", "Location": "Grandview, MO", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "05/22/2012", "StartDocuments": [ "2012-108" ], "TerminationDate": "02/25/2014", "TerminationDocuments": [ "2014-026" ], "DocketNumber": "AA-EC-12-52", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Asset Quality", "Capital", "Concentration Risk Management", "Credit/Collateral Exceptions", "Lending Issues", "Liquidity", "Loan Review", "Other Lending Deficiencies", "Problem Loan Identification", "Sensitivity to Market Risk", "Strategic Planning" ] }, { "Institution": "North American Savings Bank, FSB", "CharterNumber": "703927", "Company": "", "Individual": "", "Location": "Grandview, MO", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "04/30/2010", "StartDocuments": [ "SA" ], "TerminationDate": "05/22/2012", "TerminationDocuments": [ "2012-108" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "North American SB, FSB", "CharterNumber": "703927", "Company": "", "Individual": "", "Location": "Grandview, MO", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order 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"StartDocuments": [ "2013-091" ], "TerminationDate": "07/28/2016", "TerminationDocuments": [ "2016-080" ], "DocketNumber": "", "SubjectMatters": [ "Appraisals", "Asset Quality", "Audit", "Board / Management Oversight", "Capital", "Credit/Collateral Exceptions", "Earnings", "Internal Audit", "Lending Issues", "Loan Review", "Other Lending Deficiencies", "Problem Loan Identification", "Strategic Planning" ] }, { "Institution": "North Georgia National Bank", "CharterNumber": "23547", "Company": "", "Individual": "", "Location": "Calhoun, GA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "09/13/2010", "StartDocuments": [ "2010-190" ], "TerminationDate": "07/17/2013", "TerminationDocuments": [ "2013-097" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "North Shore Trust and Savings", "CharterNumber": "700108", "Company": "", "Individual": "Martin Trofimuk", "Location": "Waukegan, IL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "08/06/2013", "StartDocuments": [ "2013-102" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Breach of Fiduciary Duty", "Inaccurate / Incomplete / False Books and Records" ] }, { "Institution": "North Shore Trust and Savings", "CharterNumber": "700108", "Company": "", "Individual": "Martin Trofimuk", "Location": "Waukegan, IL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "08/06/2013", "StartDocuments": [ "2013-102" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2013-20", "SubjectMatters": [ "Breach of Fiduciary Duty", "Inaccurate / Incomplete / False Books and Records" ] }, { "Institution": "North Side FS & LA of Chicago", "CharterNumber": "703468", "Company": "", "Individual": "", "Location": "Chicago, IL", "TypeCode": "FA", 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"Company": "", "Individual": "", "Location": "Mesquite, TX", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "08/14/1998", "StartDocuments": [ "98-35" ], "TerminationDate": "10/18/2000", "TerminationDocuments": [ "2000-129" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Northeast National Bank", "CharterNumber": "21059", "Company": "", "Individual": "Morris Arterburn", "Location": "Mesquite, TX", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "08/06/1991", "StartDocuments": [ "375" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Northeast National Bank", "CharterNumber": "21059", "Company": "", "Individual": "Tony Arterburn", "Location": "Mesquite, TX", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "08/06/1991", "StartDocuments": [ "375" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Northeast National Bank", "CharterNumber": "21059", "Company": "", "Individual": "Steven Switzer", "Location": "Mesquite, TX", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "08/06/1991", "StartDocuments": [ "375" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Northeast National Bank Of Mesquite", "CharterNumber": "21059", "Company": "", "Individual": "Harold P. 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Hernandez", "Location": "Phoenix, AZ", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "01/06/1998", "StartDocuments": [ "98-3" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Norwest Bank New Mexico, National Association", "CharterNumber": "6187", "Company": "", "Individual": "Markus A. Jessep", "Location": "Albuquerque, NM", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "01/06/2003", "StartDocuments": [ "2003-9" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Norwest Bank New Mexico, National Association", "CharterNumber": "6187", "Company": "", "Individual": "Markus A. 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Black", "Location": "Austin, TX", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "05/26/2001", "StartDocuments": [ "2001-36" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Norwest Bank Texas, National Association", "CharterNumber": "14208", "Company": "", "Individual": "Schronda Bolton-Johnson", "Location": "Lubbock, TX", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "08/18/1998", "StartDocuments": [ "98-49" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-98", "SubjectMatters": [] }, { "Institution": "Norwest Bank Texas, National Association", "CharterNumber": "14208", "Company": "", "Individual": "Cody Jones", "Location": "San Antonio, TX", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "02/12/1999", "StartDocuments": [ "99-10" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-98-", "SubjectMatters": [] }, { "Institution": "Norwest Bank Texas, National Association", "CharterNumber": "14208", "Company": "", "Individual": "Kari Shriver", "Location": "Lubbock, TX", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "08/18/1998", "StartDocuments": [ "98-48" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-98", "SubjectMatters": [] }, { "Institution": "Nova Financial Corporation", "CharterNumber": "601101", "Company": "Nova Financial Corporation", "Individual": "", "Location": "Atlanta, GA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "07/08/1998", "StartDocuments": [ "98-96" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Nova Financial Corporation", "CharterNumber": "601101", "Company": "Nova Financial Corporation", "Individual": "", "Location": "Atlanta, GA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "07/01/1998", "StartDocuments": [ "98-33" ], "TerminationDate": "08/13/1998", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Oakland National Bank", "CharterNumber": "2212", "Company": "", "Individual": "", "Location": "Oakland, IL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "01/22/1991", "StartDocuments": [ "254" ], "TerminationDate": "03/03/1993", "TerminationDocuments": [ "93-103" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Oakland National Bank", "CharterNumber": "2212", "Company": "", "Individual": "Carlyle Greathouse", "Location": "Oakland, IL", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "11/10/1992", "StartDocuments": [ "860" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Oakland National Bank", "CharterNumber": "2212", "Company": "", "Individual": "Carlyle Greathouse", "Location": "Oakland, IL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3000.00", "StartDate": "11/10/1992", "StartDocuments": [ "826" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Oakland National Bank", "CharterNumber": "2212", "Company": "", "Individual": "Max Miller", "Location": "Oakland, IL", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "11/10/1992", "StartDocuments": [ "861" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Oakland National Bank", "CharterNumber": "2212", "Company": "", "Individual": "Max Miller", "Location": "Oakland, IL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "11/10/1992", "StartDocuments": [ "827" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Oakland National Bank", "CharterNumber": "2212", "Company": "", "Individual": "Norman J. 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"DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Ocala National Bank", "CharterNumber": "20613", "Company": "", "Individual": "Kyle Kay", "Location": "Ocala, FL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2500.00", "StartDate": "05/10/1999", "StartDocuments": [ "99-30" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Ocala National Bank", "CharterNumber": "20613", "Company": "", "Individual": "Rance Kay", "Location": "Ocala, FL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2500.00", "StartDate": "05/10/1999", "StartDocuments": [ "99-49" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Ocala National Bank", "CharterNumber": "20613", "Company": "", "Individual": "", "Location": "Ocala, FL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "02/14/2008", "StartDocuments": [ "2008-014" ], "TerminationDate": "01/30/2009", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Ocala National Bank", "CharterNumber": "20613", "Company": "", "Individual": "Don Kay", "Location": "Ocala, FL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "05/10/1999", "StartDocuments": [ "99-29" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Ocean National Bank of Kennebunk, The", "CharterNumber": "1254", "Company": "", "Individual": "", "Location": "Kennebunk, ME", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "10/23/1991", "StartDocuments": [ "381" ], "TerminationDate": "05/11/1994", "TerminationDocuments": [ "94-97" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Ohio Legacy Bank, National Association", "CharterNumber": "23957", "Company": "", "Individual": "", "Location": "Wooster, OH", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "02/17/2009", "StartDocuments": [ "2009-014" ], "TerminationDate": "09/09/2011", "TerminationDocuments": [ "2011-145" ], "DocketNumber": "AA-CE-09-08", "SubjectMatters": [] }, { "Institution": "Ohio Legacy Bank, National Association", "CharterNumber": "23957", "Company": "", "Individual": "", "Location": "Wooster, OH", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "06/18/2002", "StartDocuments": [ "2002-47" ], "TerminationDate": "10/01/2004", "TerminationDocuments": [ "2004-167" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Old Dominion National Bank", "CharterNumber": "24730", "Company": "", "Individual": "", "Location": "North Garden, VA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "06/28/2010", "StartDocuments": [ "2010-157" ], "TerminationDate": "07/25/2018", "TerminationDocuments": [ "2018-067" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Old Line National Bank", "CharterNumber": "21700", "Company": "", "Individual": "", "Location": "Waldorf, MD", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "09/20/1990", "StartDocuments": [ "856" ], "TerminationDate": "06/08/1994", "TerminationDocuments": [ "94-122" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Old Missouri National Bank", "CharterNumber": "23881", "Company": "", "Individual": "", "Location": "Springfield, MO", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "04/28/2006", "StartDocuments": [ "2006-35" ], "TerminationDate": "10/27/2008", "TerminationDocuments": [ "2008-158" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Old National Bank", "CharterNumber": "8846", "Company": "", "Individual": "", "Location": "Evansville, IN", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "500000.00", "StartDate": "01/14/2014", "StartDocuments": [ "2014-006" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2013-112", "SubjectMatters": [ "BSA Independent Testing/Audit", "BSA Internal Controls", "BSA Officer", "BSA Program Violation / 12 CFR 21.21", "BSA Risk Assessment", "BSA SAR Violation / 12 CFR 21.11 or 163.180", "BSA Training", "BSA Violation Cited", "BSA/AML", "Customer/Enhanced Due Diligence (CDD/EDD)" ] }, { "Institution": "Old National Bank", "CharterNumber": "8846", "Company": "", "Individual": "", "Location": "Evansville, IN", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "06/04/2012", "StartDocuments": [ "2012-126" ], "TerminationDate": "01/14/2014", "TerminationDocuments": [ "2014-008" ], "DocketNumber": "AA-CE-12-40", "SubjectMatters": [ "BSA Independent Testing/Audit", "BSA Internal Controls", "BSA Officer", "BSA Program Violation / 12 CFR 21.21", "BSA Risk Assessment", "BSA Training", "BSA Violation Cited", "BSA/AML", "Customer/Enhanced Due Diligence (CDD/EDD)", "SAR/CTR Monitoring/Filing Issue" ] }, { "Institution": "Old National Bank", "CharterNumber": "8846", "Company": "", "Individual": "", "Location": "Evansville, IN", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "56000.00", "StartDate": "09/17/2008", "StartDocuments": [ "2008-111" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-08-48", "SubjectMatters": [] }, { "Institution": "Old National Bank", "CharterNumber": "8846", "Company": "", "Individual": "", "Location": "Evansville, IN", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "12500.00", "StartDate": "09/01/2004", "StartDocuments": [ "2004-106" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Old National Bank", "CharterNumber": "8846", "Company": "", "Individual": "", "Location": "Evansville, IN", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "7500.00", "StartDate": "09/01/2004", "StartDocuments": [ "2004-107" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-04-78", "SubjectMatters": [] }, { "Institution": "Old National Bank", "CharterNumber": "8846", "Company": "", "Individual": "Tabitha McCallister", "Location": "Evansville, IN", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "02/23/2026", "StartDocuments": [ "AA-CE-2026-11" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-CE-2026-11", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "Old National Bank", "CharterNumber": "8846", "Company": "", "Individual": "Sheryl Oberts", "Location": "Evansville, IN", "TypeCode": "1829", "TypeDescription": "1829 Prohibition Notification", "Amount": "0.00", "StartDate": "05/23/2024", "StartDocuments": [ "2024-29" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Violation Cited (Criminal Statute)" ] }, { "Institution": "Old National Bank", "CharterNumber": "8846", "Company": "", "Individual": "Robert E. Tolle", "Location": "Evansville, IN", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "09/21/2010", "StartDocuments": [ "2010-219" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-CE-10-97", "SubjectMatters": [] }, { "Institution": "Old Point National Bank Of Phoebus", "CharterNumber": "12267", "Company": "", "Individual": "", "Location": "Hampton, VA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "07/14/1993", "StartDocuments": [ "93-185" ], "TerminationDate": "03/24/1994", "TerminationDocuments": [ "94-57" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Old Second National Bank", "CharterNumber": "4596", "Company": "", "Individual": "", "Location": "Aurora, IL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "05/16/2011", "StartDocuments": [ "2011-081" ], "TerminationDate": "10/17/2013", "TerminationDocuments": [ "2013-170" ], "DocketNumber": "AA-EC-11-39", "SubjectMatters": [] }, { "Institution": "Olmsted National Bank", "CharterNumber": "22997", "Company": "", "Individual": "", "Location": "Rochester, MN", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "02/08/2010", "StartDocuments": [ "2010-030" ], "TerminationDate": "12/18/2014", "TerminationDocuments": [ "2015-015" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Olmsted National Bank", "CharterNumber": "22997", "Company": "", "Individual": "", "Location": "Rochester, MN", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "12/21/2007", "StartDocuments": [ "2007-143" ], "TerminationDate": "12/18/2014", "TerminationDocuments": [ "2015-015" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Olympic National Bank", "CharterNumber": "17821", "Company": "", "Individual": "", "Location": "Los Angeles, CA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "10/14/1992", "StartDocuments": [ "724" ], "TerminationDate": "04/02/1993", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Omega Bank, National Association", "CharterNumber": "10506", "Company": "", "Individual": "", "Location": "State College, PA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2700.00", "StartDate": "05/24/2004", "StartDocuments": [ "2004-54" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Omni Bank, N.A.", "CharterNumber": "16840", "Company": "", "Individual": "", "Location": "Monterey Park, CA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "07/01/1993", "StartDocuments": [ "93-180" ], "TerminationDate": "03/21/1996", "TerminationDocuments": [ "96-25" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Omni National Bank", "CharterNumber": "16560", "Company": "", "Individual": "", "Location": "Atlanta, GA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "10/07/2008", "StartDocuments": [ "2008-127" ], "TerminationDate": "03/27/2009", "TerminationDocuments": [], "DocketNumber": "AA-EC-08-72", "SubjectMatters": [] }, { "Institution": "Omni National Bank", "CharterNumber": "16560", "Company": "", "Individual": "Karim Walthour Lawrence", "Location": "Atlanta, GA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "04/06/2011", "StartDocuments": [ "2011-074" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-11-03", "SubjectMatters": [] }, { "Institution": "Omni National Bank", "CharterNumber": "16560", "Company": "", "Individual": "Jeffrey Levine", "Location": "Atlanta, GA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "03/24/2010", "StartDocuments": [ "2010-084" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-10-21", "SubjectMatters": [] }, { "Institution": "Omnibank, National Association", "CharterNumber": "14703", "Company": "", "Individual": "", "Location": "Houston, TX", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "11/18/2010", "StartDocuments": [ "2010-230" ], "TerminationDate": "03/05/2014", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "One Bank & Trust, National Association", "CharterNumber": "24136", "Company": "", "Individual": "", "Location": "Little Rock, AR", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "10/09/2013", "StartDocuments": [ "2013-161" ], "TerminationDate": "07/31/2018", "TerminationDocuments": [], "DocketNumber": "AA-EC-13-82", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Appraisals", "Asset Quality", "Audit", "BSA Independent Testing/Audit", "BSA Internal Controls", "BSA Officer", "BSA Risk Assessment", "BSA Training", "BSA/AML", "Capital", "Concentration Risk Management", "Credit/Collateral Exceptions", "Customer/Enhanced Due Diligence (CDD/EDD)", "Internal Audit", "Lending Issues", "OREO", "Other Lending Deficiencies", "Problem Loan Identification", "Strategic Planning" ] }, { "Institution": "One Bank & Trust, National Association", "CharterNumber": "24136", "Company": "", "Individual": "", "Location": "Little Rock, AR", "TypeCode": "PCAD", "TypeDescription": "Prompt Corrective Action (PCA) Directive", "Amount": "0.00", "StartDate": "09/28/2012", "StartDocuments": [ "2012-220" ], "TerminationDate": "10/09/2013", "TerminationDocuments": [ "2013-161" ], "DocketNumber": "AA-EC-12-119", "SubjectMatters": [ "Inaccurate / Incomplete / False Books and Records", "Prompt Corrective Action" ] }, { "Institution": "One Bank & Trust, National Association", "CharterNumber": "24136", "Company": "", "Individual": "", "Location": "Little Rock, AR", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "05/23/2012", "StartDocuments": [ "2012-107" ], "TerminationDate": "10/09/2013", "TerminationDocuments": [ "2013-161" ], "DocketNumber": "AA-EC-12-58", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Appraisals", "Asset Quality", "Audit", "Board / Management Oversight", "Capital", "Concentration Risk Management", "Credit/Collateral Exceptions", "Internal Audit", "Lending Issues", "Liquidity", "Loan Review", "OREO", "Other Lending Deficiencies", "Problem Loan Identification", "Strategic Planning" ] }, { "Institution": "One Bank & Trust, National Association", "CharterNumber": "24136", "Company": "", "Individual": "", "Location": "Little Rock, AR", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "01/20/2011", "StartDocuments": [ "2011-005" ], "TerminationDate": "05/23/2012", "TerminationDocuments": [ "2012-107" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "One Bank & Trust, National Association", "CharterNumber": "24136", "Company": "", "Individual": "Wilson Daniels Bynum", "Location": "Little Rock, AR", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "08/09/2017", "StartDocuments": [ "2017-066" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2017-24", "SubjectMatters": [ "Insider Issues", "Lending Issues", "Other Lending Deficiencies" ] }, { "Institution": "One Bank & Trust, National Association", "CharterNumber": "24136", "Company": "", "Individual": "Matthew D. Sweet", "Location": "Little Rock, AR", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "12/08/2015", "StartDocuments": [ "2015-142" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2015-66", "SubjectMatters": [ "BSA Violation Cited", "BSA/AML", "Insider Issues", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "One Bank & Trust, National Association", "CharterNumber": "24136", "Company": "", "Individual": "Tom Whitehead", "Location": "Little Rock, AR", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "11/21/2017", "StartDocuments": [ "2017-097" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2017-61", "SubjectMatters": [ "Breach of Fiduciary Duty", "Expense Abuse", "False Statements / Obstruction", "Fraud/Forgery", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Lending Issues", "Loans to Insiders (incl. Reg O)", "Theft / Misappropriation of Funds" ] }, { "Institution": "One Bank & Trust, National Association", "CharterNumber": "24136", "Company": "", "Individual": "Tom Whitehead", "Location": "Little Rock, AR", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "100000.00", "StartDate": "11/21/2017", "StartDocuments": [ "2017-097" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2017-61", "SubjectMatters": [ "Breach of Fiduciary Duty", "Expense Abuse", "False Statements / Obstruction", "Fraud/Forgery", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Lending Issues", "Loans to Insiders (incl. Reg O)", "Theft / Misappropriation of Funds" ] }, { "Institution": "OneWest Bank, National Association", "CharterNumber": "25079", "Company": "", "Individual": "", "Location": "Pasadena, CA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "03/11/2014", "StartDocuments": [ "2014-029" ], "TerminationDate": "07/14/2015", "TerminationDocuments": [ "2015-077" ], "DocketNumber": "", "SubjectMatters": [ "Compliance Risk Management", "Consumer Law", "False Statements / Obstruction", "Foreclosures", "Lending Issues", "Other Lending Deficiencies", "Third Party Risk Management" ] }, { "Institution": "OneWest Bank, National Association", "CharterNumber": "25079", "Company": "", "Individual": "", "Location": "Pasadena, CA", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "See Order", "StartDate": "03/11/2014", "StartDocuments": [ "2014-029" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Compliance Risk Management", "Consumer Law", "False Statements / Obstruction", "Foreclosures", "Lending Issues", "Other Lending Deficiencies", "Third Party Risk Management" ] }, { "Institution": "Ontario National Bank", "CharterNumber": "8717", "Company": "", "Individual": "Mark Cook", "Location": "Clifton Springs, NY", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "12/03/2001", "StartDocuments": [ "2001-110" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Ontario National Bank", "CharterNumber": "8717", "Company": "", "Individual": "Mark Cook", "Location": "Clifton Springs, NY", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2500.00", "StartDate": "12/03/2001", "StartDocuments": [ "2001-110" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Ontario National Bank", "CharterNumber": "8717", "Company": "", "Individual": "", "Location": "Clifton Springs, NY", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "09/16/2005", "StartDocuments": [ "2005-137" ], "TerminationDate": "12/01/2006", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Ozark Heritage Bank, National Association", "CharterNumber": "14731", "Company": "", "Individual": "", "Location": "Mountain View, AR", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "08/26/2010", "StartDocuments": [ "2010-160" ], "TerminationDate": "04/14/2015", "TerminationDocuments": [ "2015-038" ], "DocketNumber": "AA-EC-10-83", "SubjectMatters": [] }, { "Institution": "Ozark Heritage Bank, National Association", "CharterNumber": "14731", "Company": "", "Individual": "James Barnes", "Location": "Mountain View, AR", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "03/23/2015", "StartDocuments": [ "2015-023" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-14-97", "SubjectMatters": [ "Breach of Fiduciary Duty", "Fraud/Forgery", "Insider Issues", "Lending Issues", "Loans to Insiders (incl. Reg O)", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Ozark Heritage Bank, National Association", "CharterNumber": "14731", "Company": "", "Individual": "James Barnes", "Location": "Mountain View, AR", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "20000.00", "StartDate": "03/23/2015", "StartDocuments": [ "2015-023" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-14-97", "SubjectMatters": [ "Breach of Fiduciary Duty", "Fraud/Forgery", "Insider Issues", "Lending Issues", "Loans to Insiders (incl. 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Reg O)", "Other Lending Deficiencies" ] }, { "Institution": "Ozark Heritage Bank, National Association", "CharterNumber": "14731", "Company": "", "Individual": "Marvin Sutterfield", "Location": "Mountain View, AR", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "20000.00", "StartDate": "08/10/2012", "StartDocuments": [ "2012-216" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-12-50", "SubjectMatters": [ "Golden Parachutes", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Lending Issues", "Loans to Insiders (incl. Reg O)", "Other Lending Deficiencies" ] }, { "Institution": "Ozarks National Bank", "CharterNumber": "18757", "Company": "", "Individual": "", "Location": "Lake Ozark, MO", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "12/16/1991", "StartDocuments": [ "462" ], "TerminationDate": "07/31/1992", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Pacific Capital Bank, National Association", "CharterNumber": "24319", "Company": "", "Individual": "", "Location": "Santa Barbara, CA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "09/02/2010", "StartDocuments": [ "2010-168" ], "TerminationDate": "12/28/2011", "TerminationDocuments": [ "2011-194" ], "DocketNumber": "AA-EC-10-41", "SubjectMatters": [] }, { "Institution": "Pacific Capital Bank, National Association", "CharterNumber": "24319", "Company": "", "Individual": 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Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "08/18/2009", "StartDocuments": [ "2009-115" ], "TerminationDate": "11/13/2009", "TerminationDocuments": [], "DocketNumber": "AA-EC-09-60", "SubjectMatters": [] }, { "Institution": "Pacific National Bank", "CharterNumber": "20010", "Company": "", "Individual": "", "Location": "Miami, FL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "06/21/2000", "StartDocuments": [ "2000-83" ], "TerminationDate": "01/28/2003", "TerminationDocuments": [ "2003-16" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Pacific National Bank", "CharterNumber": "20010", "Company": "", "Individual": "", "Location": "Miami, FL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "08/20/1999", "StartDocuments": [ "99-127" ], "TerminationDate": "01/28/2003", "TerminationDocuments": [ "2003-16" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": 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"09/29/2009", "TerminationDocuments": [ "2009-164" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Pacific National Bank", "CharterNumber": "20010", "Company": "", "Individual": "", "Location": "Miami, FL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "12/16/2005", "StartDocuments": [ "2005-165" ], "TerminationDate": "12/15/2010", "TerminationDocuments": [ "2010-253" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Pacific National Bank", "CharterNumber": "20010", "Company": "", "Individual": "Jose Baloyra", "Location": "Miami, FL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "8500.00", "StartDate": "04/14/2011", "StartDocuments": [ "2011-057" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-11-06", "SubjectMatters": [] }, { "Institution": "Pacific National Bank", "CharterNumber": 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"CharterNumber": "17423", "Company": "", "Individual": "Melinda McIntyre-Kolpin", "Location": "Santa Monica, CA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "01/21/2003", "StartDocuments": [ "2003-6" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Pacific Western National Bank", "CharterNumber": "17423", "Company": "", "Individual": "Melinda McIntyre-Kolpin", "Location": "Santa Monica, CA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000.00", "StartDate": "01/21/2003", "StartDocuments": [ "2003-6" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Pacific Western National Bank", "CharterNumber": "17423", "Company": "", "Individual": "Patricia A. 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"CharterNumber": "24538", "Company": "", "Individual": "", "Location": "Memphis, TN", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "09/12/2008", "StartDocuments": [ "2008-119" ], "TerminationDate": "08/14/2013", "TerminationDocuments": [ "2013-156" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Parish National Bank", "CharterNumber": "15642", "Company": "", "Individual": "", "Location": "Bogalusa, LA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "04/05/1993", "StartDocuments": [ "93-86" ], "TerminationDate": "03/03/1994", "TerminationDocuments": [ "94-49" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Parish National Bank", "CharterNumber": "15642", "Company": "", "Individual": "Paul Gorney", "Location": "Covington, LA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "03/13/2002", "StartDocuments": [ "2002-21" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Parish National Bank", "CharterNumber": "15642", "Company": "", "Individual": "Paul Gorney", "Location": "Covington, LA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "100000.00", "StartDate": "03/13/2002", "StartDocuments": [ "2002-21" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Park Avenue Bank, N.A.", "CharterNumber": "20962", "Company": "", "Individual": "", "Location": "New York, NY", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "12/19/1994", "StartDocuments": [ "94-204" ], "TerminationDate": "01/17/1996", "TerminationDocuments": [ "96-4" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Park Avenue Bank, National Association, The", "CharterNumber": "20962", "Company": "", "Individual": "Erol Aksoy", "Location": "New York, NY", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "20000.00", "StartDate": "02/20/1996", "StartDocuments": [ "96-9" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-96-07", "SubjectMatters": [] }, { "Institution": "Park Avenue Bank, National Association, The", "CharterNumber": "20962", "Company": "", "Individual": "", "Location": "New York, NY", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "12/01/1989", "StartDocuments": [ "961" ], "TerminationDate": "06/20/1991", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Park Federal Savings Bank", "CharterNumber": "700805", "Company": "", "Individual": "", "Location": "Chicago, IL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "07/06/2012", "StartDocuments": [ "2012-157" ], "TerminationDate": "04/29/2016", "TerminationDocuments": [], "DocketNumber": "AA-CE-12-57", "SubjectMatters": [ "Asset Quality", "Capital", "Credit/Collateral Exceptions", "Lending Issues", "Loan Review", "Other Lending Deficiencies", "Problem Loan Identification", "Strategic Planning" ] }, { "Institution": "Park Forty-Five National Bank", "CharterNumber": "18451", "Company": "", "Individual": "Gordon M. Anderson", "Location": "Spring, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1500.00", "StartDate": "01/06/1994", "StartDocuments": [ "94-102" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Park Forty-Five National Bank", "CharterNumber": "18451", "Company": "", "Individual": "Roland L. Arnold", "Location": "Spring, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "9750.00", "StartDate": "12/13/1993", "StartDocuments": [ "93-309" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-93-36", "SubjectMatters": [] }, { "Institution": "Park Forty-Five National Bank", "CharterNumber": "18451", "Company": "", "Individual": "Maurice Doke", "Location": "Spring, TX", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "12/13/1993", "StartDocuments": [ "93-311" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-93-104", "SubjectMatters": [] }, { "Institution": "Park Forty-Five National Bank", "CharterNumber": "18451", "Company": "", "Individual": "Maurice Doke", "Location": "Spring, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "50000.00", "StartDate": "12/13/1993", "StartDocuments": [ "93-311" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-93-38", "SubjectMatters": [] }, { "Institution": "Park Forty-Five National Bank", "CharterNumber": "18451", "Company": "", "Individual": "Clarence O. Dube", "Location": "Spring, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "12500.00", "StartDate": "01/04/1994", "StartDocuments": [ "94-172" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Park Forty-Five National Bank", "CharterNumber": "18451", "Company": "", "Individual": "Tracy Dubose", "Location": "Spring, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5500.00", "StartDate": "11/23/1993", "StartDocuments": [ "93-286" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-93-35", "SubjectMatters": [] }, { "Institution": "Park Forty-Five National Bank", "CharterNumber": "18451", "Company": "", "Individual": "Larry B. 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National Bank", "CharterNumber": "21944", "Company": "", "Individual": "", "Location": "Paris, TX", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "01/30/2003", "StartDocuments": [ "2003-2" ], "TerminationDate": "04/22/2004", "TerminationDocuments": [ "2004-42" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Peoples National Bank", "CharterNumber": "21944", "Company": "", "Individual": "", "Location": "Paris, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "175000.00", "StartDate": "01/30/2003", "StartDocuments": [ "2003-2" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-02-03", "SubjectMatters": [] }, { "Institution": "Peoples National Bank", "CharterNumber": "21717", "Company": "", "Individual": "Eric Anderson", "Location": "Colorado Springs, CO", "TypeCode": "C&D", "TypeDescription": 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Coleman", "Location": "Pittsburgh, PA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "03/01/2005", "StartDocuments": [ "2005-37" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-04-43", "SubjectMatters": [] }, { "Institution": "PNC Bank, National Association", "CharterNumber": "1316", "Company": "", "Individual": "Megan Conlon", "Location": "Pittsburgh, PA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "08/23/2023", "StartDocuments": [ "2023-027" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2023-12", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "PNC Bank, National Association", "CharterNumber": "1316", "Company": "", "Individual": "James Digangi", "Location": "Pittsburgh, PA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "05/09/2007", "StartDocuments": [ "2007-056" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "PNC Bank, National Association", "CharterNumber": "1316", "Company": "", "Individual": "Denton Douglas", "Location": "Wilmington, DE", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "01/08/2021", "StartDocuments": [ "2021-008" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-20-39", "SubjectMatters": [ "Breach of Fiduciary Duty", "BSA/AML", "Customer/Enhanced Due Diligence (CDD/EDD)", "Fraud/Forgery", "Insider Issues" ] }, { "Institution": "PNC Bank, National Association", "CharterNumber": "1316", "Company": "", "Individual": "Denton Douglas", "Location": "Wilmington, DE", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "35000.00", "StartDate": "01/08/2021", "StartDocuments": [ "2021-008" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-20-39", "SubjectMatters": [ "Breach of Fiduciary Duty", "BSA/AML", "Customer/Enhanced Due Diligence (CDD/EDD)", "Fraud/Forgery", "Insider Issues" ] }, { "Institution": "PNC Bank, National Association", "CharterNumber": "1316", "Company": "", "Individual": "Denton Douglas", "Location": "Wilmington, DE", "TypeCode": "Notice", "TypeDescription": "Notice of Charges", "Amount": "0.00", "StartDate": "06/22/2020", "StartDocuments": [ "N20-006" ], "TerminationDate": "01/08/2021", "TerminationDocuments": [ "2021-008" ], "DocketNumber": "AA-EC-20-39", "SubjectMatters": [ "Breach of Fiduciary Duty", "BSA/AML", "Customer/Enhanced Due Diligence (CDD/EDD)", "Fraud/Forgery", "Insider Issues", "Lending Issues", "Nominee Lending", "Other Lending Deficiencies" ] }, { "Institution": "PNC Bank, National Association", "CharterNumber": "1316", "Company": "", "Individual": "Rachel E. Gindele", "Location": "Pittsburgh, PA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "12/03/2002", "StartDocuments": [ "2002-134" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "PNC Bank, National Association", "CharterNumber": "1316", "Company": "", "Individual": "Lamont Hankins", "Location": "Wilmington, DE", "TypeCode": "1829", "TypeDescription": "1829 Prohibition Notification", "Amount": "0.00", "StartDate": "01/13/2026", "StartDocuments": [ "2026-02" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Violation Cited (Criminal Statute)" ] }, { "Institution": "PNC Bank, National Association", "CharterNumber": "1316", "Company": "", "Individual": "Tyra L. Holmes", "Location": "Wilmington, DE", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "05/25/2018", "StartDocuments": [ "2018-039" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2018-25", "SubjectMatters": [ "Fraud/Forgery", "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "PNC Bank, National Association", "CharterNumber": "1316", "Company": "", "Individual": "April K. Johnson", "Location": "Wilmington, DE", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "07/29/2015", "StartDocuments": [ "2015-099" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2015-56", "SubjectMatters": [ "Expense Abuse", "Insider Issues" ] }, { "Institution": "PNC Bank, National Association", "CharterNumber": "1316", "Company": "", "Individual": "Priscilla Jones-Cotton", "Location": "Wilmington, DE", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "05/30/2024", "StartDocuments": [ "AA-ENF-2024-48" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2024-48", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "PNC Bank, National Association", "CharterNumber": "1316", "Company": "", "Individual": "Sandra Kang", "Location": "Wilmington, DE", "TypeCode": "1829", "TypeDescription": "1829 Prohibition Notification", "Amount": "0.00", "StartDate": "05/30/2024", "StartDocuments": [ "2024-27" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Violation Cited (Criminal Statute)" ] }, { "Institution": "PNC Bank, National Association", "CharterNumber": "1316", "Company": "", "Individual": "Cole Mann", "Location": "Wilmington, DE", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "01/08/2024", "StartDocuments": [ "AA-ENF-2023-65" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2023-65", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "PNC Bank, National Association", "CharterNumber": "1316", "Company": "", "Individual": "Meghan N. 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"Location": "Wilmington, DE", "TypeCode": "Notice", "TypeDescription": "Notice of Charges", "Amount": "0.00", "StartDate": "04/16/2024", "StartDocuments": [ "AA-EC-2024-12N" ], "TerminationDate": "08/25/2025", "TerminationDocuments": [ "AA-EC-2024-12" ], "DocketNumber": "AA-EC-2024-12", "SubjectMatters": [ "Fraud/Forgery", "Insider Issues", "Violation Cited (Criminal Statute)" ] }, { "Institution": "PNC Bank, National Association", "CharterNumber": "1316", "Company": "", "Individual": "Sherayle Moye", "Location": "Wilmington, DE", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "10/09/2018", "StartDocuments": [ "2018-085" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2018-57", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "PNC Bank, National Association", "CharterNumber": "1316", "Company": "", "Individual": "Sabina Prince", "Location": "Wilmington, DE", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "04/09/2024", "StartDocuments": [ "AA-ENF-2024-16" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2024-16", "SubjectMatters": [ "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "PNC Bank, National Association", "CharterNumber": "1316", "Company": "", "Individual": "Maria Salazar", "Location": "Wilmington, DE", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "08/01/2024", "StartDocuments": [ "AA-ENF-2024-58" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "PNC Bank, National Association", "CharterNumber": "1316", "Company": "", "Individual": "Nakyra Singletary", "Location": "Wilmington, DE", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "12/18/2024", "StartDocuments": [ "AA-ENF-2024-98" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2024-98", "SubjectMatters": [ "Insider Issues", "Theft/Misappropriation of Customer Info" ] }, { "Institution": "PNC Bank, National Association", "CharterNumber": "1316", "Company": "", "Individual": "Nathan Wadsworth", "Location": "Wilmington, DE", "TypeCode": "1829", "TypeDescription": "1829 Prohibition Notification", "Amount": "0.00", "StartDate": "01/08/2024", "StartDocuments": [ "2024-03" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Violation Cited (Criminal Statute)" ] }, { "Institution": "Polonia Bank", "CharterNumber": "703218", "Company": "", "Individual": "", "Location": "Huntingdon Valley, PA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "11/10/2015", "StartDocuments": [ "2015-128" ], "TerminationDate": "11/01/2017", "TerminationDocuments": [], "DocketNumber": "AA-NE-2015-99", "SubjectMatters": [ "Compliance Risk Management", "Consumer Law", "TILA/RESPA" ] }, { "Institution": "Polonia Bank", "CharterNumber": "703218", "Company": "", "Individual": "", "Location": "Huntingdon Valley, PA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "10/21/2014", "StartDocuments": [ "2014-148" ], "TerminationDate": "11/01/2017", "TerminationDocuments": [], "DocketNumber": "AA-NE-2014-107", "SubjectMatters": [ "Audit", "Board / Management Oversight", "Compensation", "Earnings", "Enterprise Governance / Internal Controls / General Risk Management", "Insider Issues", "Internal Audit", "Lending Issues", "Liquidity", "Loan Review", "Other Lending Deficiencies", "Sensitivity to Market Risk", "Strategic Planning", "Third Party Risk Management" ] }, { "Institution": "Ponce de Leon Federal Bank", "CharterNumber": "706509", "Company": "", "Individual": "", "Location": "Bronx, NY", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "07/11/2013", "StartDocuments": [ "2013-093" ], "TerminationDate": "05/25/2016", "TerminationDocuments": [ "2016-066" ], "DocketNumber": "AA-NE-2013-53", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Appraisals", "Asset Quality", "Audit", "Board / Management Oversight", "BSA Internal Controls", "BSA Risk Assessment", "BSA/AML", "Concentration Risk Management", "Credit/Collateral Exceptions", "Customer/Enhanced Due Diligence (CDD/EDD)", "Inaccurate / Incomplete / False Books and Records", "Internal Audit", "Lending Issues", "Loan Review", "Other Lending Deficiencies", "Problem Loan Identification" ] }, { "Institution": "Portage National Bank", "CharterNumber": "14490", "Company": "", "Individual": "", "Location": "Ebensburg, PA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "10/18/2000", "StartDocuments": [ "2000-96" ], "TerminationDate": "04/15/2003", "TerminationDocuments": [ "2003-67" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Portage National Bank", "CharterNumber": "14490", "Company": "", "Individual": "Dennis C. Beck", "Location": "Portage, PA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2500.00", "StartDate": "08/14/2001", "StartDocuments": [ "2001-64" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Portage National Bank", "CharterNumber": "14490", "Company": "", "Individual": "Jo Anne Brinzey", "Location": "Portage, PA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2500.00", "StartDate": "07/31/2001", "StartDocuments": [ "2001-65" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Portage National Bank", "CharterNumber": "14490", "Company": "", "Individual": "Lawrence T. Fiannone", "Location": "Portage, PA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "07/31/2001", "StartDocuments": [ "2001-68" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Portage National Bank", "CharterNumber": "14490", "Company": "", "Individual": "Martin P. Finklestine", "Location": "Portage, PA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2500.00", "StartDate": "07/31/2001", "StartDocuments": [ "2001-66" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Portage National Bank", "CharterNumber": "14490", "Company": "", "Individual": "Larry P. Fronheiser", "Location": "Portage, PA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "7500.00", "StartDate": "08/14/2001", "StartDocuments": [ "2001-67" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Portage National Bank", "CharterNumber": "14490", "Company": "", "Individual": "Dennis M. McGlynn", "Location": "Portage, PA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2500.00", "StartDate": "07/26/2001", "StartDocuments": [ "2001-69" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Portage National Bank", "CharterNumber": "14490", "Company": "", "Individual": "Randolph P. 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Palumbo", "Location": "Mansfield, LA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "03/01/1991", "StartDocuments": [ "540" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Progressive National Bank of Desoto Parish", "CharterNumber": "17735", "Company": "", "Individual": "Luther P. Palumbo", "Location": "Mansfield, LA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "11/08/1997", "StartDocuments": [ "97-90" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Progressive National Bank of Desoto Parish", "CharterNumber": "17735", "Company": "", "Individual": "Luther P. 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"", "Individual": "", "Location": "Putnam, CT", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "06/20/2012", "StartDocuments": [ "2012-188" ], "TerminationDate": "02/25/2014", "TerminationDocuments": [ "2014-021" ], "DocketNumber": "AA-NE-2014-11", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Appraisals", "Asset Quality", "Capital", "Credit/Collateral Exceptions", "Investment/Other than Temporary Impairment", "Lending Issues", "Loan Review", "Other Lending Deficiencies", "Problem Loan Identification", "Securities Activities", "Strategic Planning", "Trading & Securities" ] }, { "Institution": "Queen City National Bank", "CharterNumber": "17933", "Company": "", "Individual": "", "Location": "Long Beach, CA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "09/01/1992", "StartDocuments": [ "669" ], "TerminationDate": "12/07/1995", "TerminationDocuments": [ "95-93" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Queensborough National Bank & Trust Company", "CharterNumber": "6207", "Company": "", "Individual": "", "Location": "Louisville, GA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "12/08/2010", "StartDocuments": [ "2010-261" ], "TerminationDate": "08/29/2014", "TerminationDocuments": [ "2014-135" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Quontic Bank", "CharterNumber": "717974", "Company": "", "Individual": "", "Location": "New York, NY", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "10/05/2022", "StartDocuments": [ "2022-048" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2022-25", "SubjectMatters": [ "Appraisals", "Audit", "Board / Management Oversight", "Capital", "Concentration Risk Management", "Enterprise Governance / Internal Controls / General Risk Management", "Inaccurate / Incomplete / False Books and Records", "Internal Audit", "Lending Issues", "Liquidity", "Noncompliance with Enforcement Action", "Other Lending Deficiencies", "Strategic Planning", "Third Party Risk Management" ] }, { "Institution": "Quontic Bank", "CharterNumber": "717974", "Company": "", "Individual": "", "Location": "Astoria, NY", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "10/29/2018", "StartDocuments": [ "2018-093" ], "TerminationDate": "10/05/2022", "TerminationDocuments": [ "2022-058" ], "DocketNumber": "", "SubjectMatters": [ "Board / Management Oversight", "Capital", "Liquidity", "Sensitivity to Market Risk", "Strategic Planning" ] }, { "Institution": "Quontic Bank", "CharterNumber": "717974", "Company": "", "Individual": "", "Location": "Astoria, NY", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "07/22/2014", "StartDocuments": [ "2014-102" ], "TerminationDate": "09/24/2015", "TerminationDocuments": [ "2015-118" ], "DocketNumber": "AA-NE-2014-74", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Board / Management Oversight", "BSA/AML", "Capital", "Compliance Risk Management", "Customer/Enhanced Due Diligence (CDD/EDD)", "Earnings", "Enterprise Governance / Internal Controls / General Risk Management", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Lending Issues", "Loan Review", "Other Lending Deficiencies", "Problem Loan Identification", "Strategic Planning", "Violation Cited (Other)" ] }, { "Institution": "Rabobank, National Association", "CharterNumber": "24583", "Company": "", "Individual": "", "Location": "Roseville, CA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "50000000.00", "StartDate": "02/06/2018", "StartDocuments": [ "2018-008" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-WE-2017-82", "SubjectMatters": [ "BSA Independent Testing/Audit", "BSA Officer", "BSA Program Violation / 12 CFR 21.21", "BSA SAR Violation / 12 CFR 21.11 or 163.180", "BSA Training", "BSA Violation Cited", "BSA/AML", "Customer/Enhanced Due Diligence (CDD/EDD)", "False Statements / Obstruction", "SAR/CTR Monitoring/Filing Issue" ] }, { "Institution": "Rabobank, National Association", "CharterNumber": "24583", "Company": "", "Individual": "", "Location": "Roseville, CA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "58000.00", "StartDate": "03/27/2017", "StartDocuments": [ "2017-028" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-WE-2017-17", "SubjectMatters": [ "Consumer Law", "Flood Insurance" ] }, { "Institution": "Rabobank, National Association", "CharterNumber": "24583", "Company": "", "Individual": "", "Location": "Roseville, CA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "12/05/2013", "StartDocuments": [ "2013-191" ], "TerminationDate": "02/06/2018", "TerminationDocuments": [ "2018-009" ], "DocketNumber": "AA-WE-2013-92", "SubjectMatters": [ "BSA Independent Testing/Audit", "BSA Internal Controls", "BSA Officer", "BSA Program Violation / 12 CFR 21.21", "BSA Risk Assessment", "BSA SAR Violation / 12 CFR 21.11 or 163.180", "BSA Training", "BSA Violation Cited", "BSA/AML", "Customer/Enhanced Due Diligence (CDD/EDD)", "SAR/CTR Monitoring/Filing Issue" ] }, { "Institution": "Rabobank, National Association", "CharterNumber": "24583", "Company": "", "Individual": "", "Location": "El Centro, CA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "01/23/2008", "StartDocuments": [ "2008-003" ], "TerminationDate": "09/11/2009", "TerminationDocuments": [ "2009-163" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Rabobank, National Association", "CharterNumber": "24583", "Company": "", "Individual": "Laura Akahoshi", "Location": "Roseville, CA", "TypeCode": "Notice", "TypeDescription": "Notice of Charges", "Amount": "0.00", "StartDate": "04/16/2018", "StartDocuments": [ "N18-002" ], "TerminationDate": "04/05/2023", "TerminationDocuments": [ "AA-EC-2018-20T" ], "DocketNumber": "AA-EC-2018-20", "SubjectMatters": [ "False Statements / Obstruction", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Rabobank, National Association", "CharterNumber": "24583", "Company": "", "Individual": "John Ryan", "Location": "Roseville, CA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "07/28/2022", "StartDocuments": [ "2022-025" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2022-27", "SubjectMatters": [ "Breach of Fiduciary Duty", "False Statements / Obstruction", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Rabobank, National Association", "CharterNumber": "24583", "Company": "", "Individual": "John Ryan", "Location": "Roseville, CA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "20000.00", "StartDate": "07/28/2022", "StartDocuments": [ "2022-025" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-ENF-2022-27", "SubjectMatters": [ "Breach of Fiduciary Duty", "False Statements / Obstruction", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Rabobank, National Association", "CharterNumber": "24583", "Company": "", "Individual": "Daniel Weiss", "Location": "Roseville, CA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "07/17/2019", "StartDocuments": [ "2019-034" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2018-95", "SubjectMatters": [] }, { "Institution": "Rabobank, National Association", "CharterNumber": "24583", "Company": "", "Individual": "Daniel Weiss", "Location": "Roseville, CA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "50000.00", "StartDate": "07/17/2019", "StartDocuments": [ "2019-034" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2018-95", "SubjectMatters": [] }, { "Institution": "Rabobank, National Association", "CharterNumber": "24583", "Company": "", "Individual": "Daniel Weiss", "Location": "Roseville, CA", "TypeCode": "Notice", "TypeDescription": "Notice of Charges", "Amount": "0.00", "StartDate": "03/25/2019", "StartDocuments": [ "N19-002" ], "TerminationDate": "07/19/2019", "TerminationDocuments": [ "2019-034", "AA-EC-2018-95T" ], "DocketNumber": "AA-EC-2018-95", "SubjectMatters": [ "False Statements / Obstruction", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Ramona National Bank", "CharterNumber": "24100", "Company": "", "Individual": "", "Location": "Ramona, CA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "12/14/2005", "StartDocuments": [ "2005-164" ], "TerminationDate": "03/26/2008", "TerminationDocuments": [ "2008-023" ], "DocketNumber": "AA-WE-05-101", "SubjectMatters": [] }, { "Institution": "Rancho Dominguez Bank, N.A.", "CharterNumber": "21371", "Company": "", "Individual": "", "Location": "Carson, CA", "TypeCode": "PCAD", "TypeDescription": "Prompt Corrective Action (PCA) Directive", "Amount": "0.00", "StartDate": "01/19/1994", "StartDocuments": [ "94-8" ], "TerminationDate": "12/28/1998", "TerminationDocuments": [ "98-90" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Rancho Dominguez Bank, N.A.", "CharterNumber": "21371", "Company": "", "Individual": "Sebastiano Galletti", "Location": "Carson, CA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "8000.00", "StartDate": "10/07/1991", "StartDocuments": [ "396" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-WD-91-149", "SubjectMatters": [] }, { "Institution": "Rancho Dominguez Bank, National Association", "CharterNumber": "21371", "Company": "", "Individual": "", "Location": "Carson, CA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "08/18/1992", "StartDocuments": [ "668" ], "TerminationDate": "12/28/1998", "TerminationDocuments": [ "98-90" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Rancho Santa Fe National Bank", "CharterNumber": "17212", "Company": "", "Individual": "", "Location": "Rancho Santa Fe, CA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "06/30/1993", "StartDocuments": [ "93-181" ], "TerminationDate": "10/04/1995", "TerminationDocuments": [ "95-62" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Rancho Viejo National Bank", "CharterNumber": "20069", "Company": "", "Individual": "", "Location": "Olmito, TX", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "03/20/1991", "StartDocuments": [ "194" ], "TerminationDate": "02/22/1993", "TerminationDocuments": [ "93-110" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Randolph National Bank", "CharterNumber": "2274", "Company": "", "Individual": "", "Location": "Randolph, VT", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "03/04/1992", "StartDocuments": [ "479" ], "TerminationDate": "08/30/1994", "TerminationDocuments": [ "94-257" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Rappahannock National Bank, The", "CharterNumber": "6443", "Company": "", "Individual": "", "Location": "Washington, VA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "03/18/1991", "StartDocuments": [ "206" ], "TerminationDate": "05/14/1992", "TerminationDocuments": [ "606" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Rbs Citizens, National Association", "CharterNumber": "24571", "Company": "", "Individual": "", "Location": "Providence, RI", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "08/10/2015", "StartDocuments": [ "2015-088" ], "TerminationDate": "08/18/2017", "TerminationDocuments": [ "2017-072" ], "DocketNumber": "AA-EC-2014-109", "SubjectMatters": [ "Compliance Risk Management", "Consumer Law", "Unfair or Deceptive (UDAP)" ] }, { "Institution": "Rbs Citizens, National Association", "CharterNumber": "24571", "Company": "", "Individual": "", "Location": "Providence, RI", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000000.00", "StartDate": "08/10/2015", "StartDocuments": [ "2015-089" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2014-109", "SubjectMatters": [ "Compliance Risk Management", "Consumer Law", "Unfair or Deceptive (UDAP)" ] }, { "Institution": "Rbs Citizens, National Association", "CharterNumber": "24571", "Company": "", "Individual": "", "Location": "Providence, RI", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "See Order", "StartDate": "08/10/2015", "StartDocuments": [ "2015-088" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2014-109", "SubjectMatters": [ "Compliance Risk Management", "Consumer Law", "Unfair or Deceptive (UDAP)" ] }, { "Institution": "Rbs Citizens, National Association", "CharterNumber": "24571", "Company": "", "Individual": "", "Location": "Providence, RI", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "04/29/2013", "StartDocuments": [ "2013-040" ], "TerminationDate": "01/17/2017", "TerminationDocuments": [ "2017-011" ], "DocketNumber": "AA-EC 2013-12", "SubjectMatters": [ "Compliance Risk Management", "Consumer Law", "Lending Issues", "Overdrafts", "Unfair or Deceptive (UDAP)" ] }, { "Institution": "Rbs Citizens, National Association", "CharterNumber": "24571", "Company": "", "Individual": "", "Location": "Providence, RI", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000000.00", "StartDate": "04/29/2013", "StartDocuments": [ "2013-041" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC 2013-13", "SubjectMatters": [ "Consumer Law", "Lending Issues", "Overdrafts", "Unfair or Deceptive (UDAP)" ] }, { "Institution": "Red Mountain Bank, National Association", "CharterNumber": "24497", "Company": "", "Individual": "", "Location": "Birmingham, AL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "03/27/2009", "StartDocuments": [ "2009-047" ], "TerminationDate": "03/30/2012", 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Walker", "Location": "Rock Hill, SC", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1500.00", "StartDate": "05/18/1992", "StartDocuments": [ "628" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-SE-92-83", "SubjectMatters": [] }, { "Institution": "Rock Hill National Bank", "CharterNumber": "14448", "Company": "", "Individual": "Frederick W. Faircloth", "Location": "Rock Hill, SC", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1500.00", "StartDate": "05/18/1992", "StartDocuments": [ "628" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Rock Hill National Bank", "CharterNumber": "14448", "Company": "", "Individual": "James D. Galloway", "Location": "Rock Hill, SC", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1000.00", "StartDate": "05/04/1992", "StartDocuments": [ "629" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Rock Hill National Bank", "CharterNumber": "14448", "Company": "", "Individual": "Frank B. Robards", "Location": "Rock Hill, SC", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5500.00", "StartDate": "06/08/1992", "StartDocuments": [ "630" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Rockland Savings Bank, FSB", "CharterNumber": "701454", "Company": "", "Individual": "", "Location": "Rockland, ME", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "01/17/2017", "StartDocuments": [ "2017-008" ], "TerminationDate": "08/30/2018", "TerminationDocuments": [ "2018-071" ], "DocketNumber": "AA-NE-2017-11", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Appraisals", "Asset Quality", "Audit", "Board / Management Oversight", "BSA Internal Controls", "BSA Officer", "BSA Training", "BSA/AML", "Capital", "Credit/Collateral Exceptions", "Customer/Enhanced Due Diligence (CDD/EDD)", "Enterprise Governance / Internal Controls / General Risk Management", "GLBA (12 CFR 30, Appx B)", "Information Technology", "Internal Audit", "Lending Issues", "OREO", "Other Lending Deficiencies", "SAR/CTR Monitoring/Filing Issue", "Securities Activities", "Strategic Planning", "Trading & Securities" ] }, { "Institution": "Rockport National Bank", "CharterNumber": "1194", "Company": "", "Individual": "", "Location": "Rockport, MA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "08/13/1991", "StartDocuments": [ "344" ], "TerminationDate": "04/04/1994", "TerminationDocuments": [ "94-50" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Rocky Mountain Nationla Bank", "CharterNumber": "18477", "Company": "", "Individual": "", "Location": "Denver, CO", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "09/18/1989", "StartDocuments": [ "7" ], "TerminationDate": "05/31/1990", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Roebling Bank", "CharterNumber": "706923", "Company": "", "Individual": "", "Location": "Roebling, NJ", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "07/23/2012", "StartDocuments": [ "2012-192" ], "TerminationDate": "07/02/2013", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Asset Quality", "Audit", "Board / Management Oversight", "Capital", "Earnings", "General IT Controls", "GLBA (12 CFR 30, Appx B)", "Information Technology", "Internal Audit", "Lending Issues", "Liquidity", "Other Lending Deficiencies" ] }, { "Institution": "Roma Bank", "CharterNumber": "704612", "Company": "", "Individual": "", "Location": "Robbinsville, NJ", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "09/21/2012", "StartDocuments": [ "2012-236" ], "TerminationDate": "12/06/2013", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Asset Quality", "Audit", "Board / Management Oversight", "BSA Independent Testing/Audit", "BSA Internal Controls", "BSA Risk Assessment", "BSA/AML", "Credit/Collateral Exceptions", "Customer/Enhanced Due Diligence (CDD/EDD)", "General IT Controls", "Information Technology", "Internal Audit", "Lending Issues", "OFAC Compliance Issue", "Other Lending Deficiencies", "Problem Loan Identification", "SAR/CTR Monitoring/Filing Issue" ] }, { "Institution": "Rosemount National Bank", "CharterNumber": "17462", "Company": "", "Individual": "", "Location": "Rosemount, MN", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "08/05/1997", "StartDocuments": [ "97-52" ], "TerminationDate": "08/25/1999", "TerminationDocuments": [ "99-96" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Rosemount National Bank", "CharterNumber": "17462", "Company": "", "Individual": "", "Location": "Rosemount, MN", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "04/28/2010", "StartDocuments": [ "2010-101" ], "TerminationDate": "04/15/2011", "TerminationDocuments": [], "DocketNumber": "AA-EC-10-24", "SubjectMatters": [] }, { "Institution": "Rosemount National Bank", "CharterNumber": "17462", "Company": "", "Individual": "", "Location": "Rosemount, MN", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "02/20/2009", "StartDocuments": [ "2009-025" ], "TerminationDate": "04/28/2010", "TerminationDocuments": [ "2010-101" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Royal Bank of Canada, Miami Branch", "CharterNumber": "80119", "Company": "", "Individual": "Dirceu P. Magalhaes", "Location": "Miami, FL", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "09/12/2018", "StartDocuments": [ "2018-073" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2018-54", "SubjectMatters": [ "Breach of Fiduciary Duty", "BSA SAR Violation / 12 CFR 21.11 or 163.180", "BSA Violation Cited", "BSA/AML", "Insider Issues", "SAR/CTR Monitoring/Filing Issue" ] }, { "Institution": "Royal Bank of Canada, Miami Branch", "CharterNumber": "80119", "Company": "", "Individual": "Dirceu P. Magalhaes", "Location": "Miami, FL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "100000.00", "StartDate": "09/12/2018", "StartDocuments": [ "2018-073" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2018-54", "SubjectMatters": [ "Breach of Fiduciary Duty", "BSA SAR Violation / 12 CFR 21.11 or 163.180", "BSA Violation Cited", "BSA/AML", "Insider Issues", "SAR/CTR Monitoring/Filing Issue" ] }, { "Institution": "Ruby Valley National Bank", "CharterNumber": "11008", "Company": "", "Individual": "", "Location": "Twin Bridges, MT", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "06/12/2013", "StartDocuments": [ "2013-074" ], "TerminationDate": "02/01/2016", "TerminationDocuments": [ "2016-014" ], "DocketNumber": "", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Appraisals", "Asset Quality", "Board / Management Oversight", "Capital", "Credit/Collateral Exceptions", "Legal Lending Limit", "Lending Issues", "Loan Review", "Other Lending Deficiencies", "Problem Loan Identification" ] }, { "Institution": "Sachem Trust National Association", "CharterNumber": "22784", "Company": "", "Individual": "", "Location": "Guilford, CT", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "02/25/1997", "StartDocuments": [ "97-11" ], "TerminationDate": "07/31/1997", "TerminationDocuments": [ "97-47" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Saddle River Valley Bank", "CharterNumber": "717988", "Company": "", "Individual": "", "Location": "Montclair, NJ", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "4100000.00", "StartDate": "09/23/2013", "StartDocuments": [ "2013-143" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-13-70", "SubjectMatters": [ "BSA Independent Testing/Audit", "BSA Internal Controls", "BSA Officer", "BSA Program Violation / 12 CFR 21.21", "BSA SAR Violation / 12 CFR 21.11 or 163.180", "BSA Training", "BSA Violation Cited", "BSA/AML", "Customer/Enhanced Due Diligence (CDD/EDD)", "SAR/CTR Monitoring/Filing Issue" ] }, { "Institution": "Saddle River Valley Bank", "CharterNumber": "717988", "Company": "", "Individual": "", "Location": "Saddle River, NJ", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "10/17/2011", "StartDocuments": [ "2011-153" ], "TerminationDate": "03/31/2014", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Safra National Bank of New York", "CharterNumber": "20948", "Company": "", "Individual": "Albert S. Palacci", "Location": "New York, NY", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "01/08/2009", "StartDocuments": [ "2009-005" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Saigon National Bank", "CharterNumber": "24577", "Company": "", "Individual": "", "Location": "Westminster, CA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "05/13/2010", "StartDocuments": [ "2010-121" ], "TerminationDate": "02/23/2021", "TerminationDocuments": [ "2021-019" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Sam Houston National Bank Of Walker County", "CharterNumber": "17363", "Company": "", "Individual": "Morris I. Waller", "Location": "Huntsville, TX", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "12/20/1989", "StartDocuments": [ "1031" ], "TerminationDate": "12/20/1991", "TerminationDocuments": [ "1031" ], "DocketNumber": "AA-SCP-89-113", "SubjectMatters": [] }, { "Institution": "Sam Houston National Bank Of Walker County", "CharterNumber": "17363", "Company": "", "Individual": "Morris I. Waller", "Location": "Huntsville, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3000.00", "StartDate": "12/20/1989", "StartDocuments": [ "24" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-SCP-89-45", "SubjectMatters": [] }, { "Institution": "San Antonio National Bank", "CharterNumber": "12462", "Company": "", "Individual": "", "Location": "Refugio, TX", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "09/30/2010", "StartDocuments": [ "2010-218" ], "TerminationDate": "08/30/2012", "TerminationDocuments": [ "2012-228" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "San Diego National Bank", "CharterNumber": "17114", "Company": "", "Individual": "", "Location": "San Diego, CA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "08/24/2009", "StartDocuments": [ "2009-116" ], "TerminationDate": "10/30/2009", "TerminationDocuments": [], "DocketNumber": "AA-CE-09-66", "SubjectMatters": [] }, { "Institution": "San Dieguito National Bank", "CharterNumber": "16930", "Company": "", "Individual": "", "Location": "Encinitas, CA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "09/21/1992", "StartDocuments": [ "699" ], "TerminationDate": "10/24/1995", "TerminationDocuments": [ "95-70" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "San Marcos National Bank", "CharterNumber": "18079", "Company": "", "Individual": "", "Location": "San Marcos, CA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "03/31/1993", "StartDocuments": [ "93-63" ], "TerminationDate": "07/30/1993", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Sanpaolo Imi S.P.A.", "CharterNumber": "80007", "Company": "", "Individual": "Massimiliano Locci", "Location": "New York, NY", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "12/08/1997", "StartDocuments": [ "97-82" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-97-1", "SubjectMatters": [] }, { "Institution": "Sanpaolo Imi S.P.A.", "CharterNumber": "80007", "Company": "", "Individual": "Massimiliano Locci", "Location": "New York, NY", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "50000.00", "StartDate": "12/08/1997", "StartDocuments": [ "97-82" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-97-1", "SubjectMatters": [] }, { "Institution": "Sanpaolo Imi S.P.A.", "CharterNumber": "80007", "Company": "", "Individual": "Massimiliano Locci", "Location": "New York, NY", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "9415819.00", "StartDate": "12/08/1997", "StartDocuments": [ "97-82" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-97-1", "SubjectMatters": [] }, { "Institution": "Santa Clara Valley Bank, National Association", "CharterNumber": "23642", "Company": "", "Individual": "", "Location": "Santa Paula, CA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "10/26/2010", "StartDocuments": [ "2010-208" ], "TerminationDate": "11/12/2013", "TerminationDocuments": [ "2013-185" ], "DocketNumber": "AA-EC-10-111", "SubjectMatters": [] }, { "Institution": "Santander Bank, National Association", "CharterNumber": "25022", "Company": "", "Individual": "", "Location": "Wilmington, DE", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3400000.00", "StartDate": "02/08/2016", "StartDocuments": [ "2016-007" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2016-11", "SubjectMatters": [ "Noncompliance with Enforcement Action" ] }, { "Institution": "Santander Bank, National Association", "CharterNumber": "25022", "Company": "", "Individual": "", "Location": "Wilmington, DE", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "06/16/2015", "StartDocuments": [ "2015-065" ], "TerminationDate": "02/08/2016", "TerminationDocuments": [ "2016-006" ], "DocketNumber": "", "SubjectMatters": [ "Compliance Risk Management", "Consumer Law", "Foreclosures", "Lending Issues", "Noncompliance with Enforcement Action", "Third Party Risk Management" ] }, { "Institution": "Santander Bank, National Association", "CharterNumber": "25022", "Company": "", "Individual": "", "Location": "Wilmington, DE", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "03/26/2015", "StartDocuments": [ "2015-022" ], "TerminationDate": "08/24/2018", "TerminationDocuments": [ "2018-070" ], "DocketNumber": "AA-EC-2015-03", "SubjectMatters": [ "Consumer Law", "Third Party Risk Management", "Unfair or Deceptive (UDAP)" ] }, { "Institution": "Santander Bank, National Association", "CharterNumber": "25022", "Company": "", "Individual": "", "Location": "Wilmington, DE", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "6000000.00", "StartDate": "03/26/2015", "StartDocuments": [ "2015-024" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2015-04", "SubjectMatters": [ "Consumer Law", "Unfair or Deceptive (UDAP)" ] }, { "Institution": "Santander Bank, National Association", "CharterNumber": "25022", "Company": "", "Individual": "", "Location": "Wilmington, DE", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "See Order", "StartDate": "03/26/2015", "StartDocuments": [ "2015-022" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2015-03", "SubjectMatters": [ "Consumer Law", "Third Party Risk Management", "Unfair or Deceptive (UDAP)" ] }, { "Institution": "Santander Bank, National Association", "CharterNumber": "25022", "Company": "", "Individual": "Stanley Acosta", "Location": "Wilmington, DE", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "04/09/2024", "StartDocuments": [ "AA-ENF-2024-37" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2024-37", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "Santander Bank, National Association", "CharterNumber": "25022", "Company": "", "Individual": "Francis Andujar Velazquez", "Location": "Wilmington, DE", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "01/09/2024", "StartDocuments": [ "AA-ENF-2023-42" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2023-42", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds", "Theft/Misappropriation of Customer Info" ] }, { "Institution": "Santander Bank, National Association", "CharterNumber": "25022", "Company": "", "Individual": "Giacomo Cantos", "Location": "Wilmington, DE", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "12/04/2023", "StartDocuments": [ "AA-ENF-2023-60" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2023-60", "SubjectMatters": [ "Elder Abuse", "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "Santander Bank, National Association", "CharterNumber": "25022", "Company": "", "Individual": "Dayquan Fitzgerald-Williams", "Location": "Wilmington, DE", "TypeCode": "1829", "TypeDescription": "1829 Prohibition Notification", "Amount": "0.00", "StartDate": "09/26/2023", "StartDocuments": [ "2023-047" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Violation Cited (Criminal Statute)" ] }, { "Institution": "Santander Bank, National Association", "CharterNumber": "25022", "Company": "", "Individual": "Christine Granado", "Location": "Wilmington, DE", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "04/03/2018", "StartDocuments": [ "2018-034" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2018-12", "SubjectMatters": [ "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "Santander Bank, National Association", "CharterNumber": "25022", "Company": "", "Individual": "Caroline J. Hughes", "Location": "Wilmington, DE", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "07/13/2020", "StartDocuments": [ "2020-040" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2020-45", "SubjectMatters": [ "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "Santander Bank, National Association", "CharterNumber": "25022", "Company": "", "Individual": "Michael W. Jones", "Location": "Wilmington, DE", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "07/09/2018", "StartDocuments": [ "2018-065" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2018-32", "SubjectMatters": [ "Breach of Fiduciary Duty", "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "Santander Bank, National Association", "CharterNumber": "25022", "Company": "", "Individual": "Elijah McBride-Bey", "Location": "Wilmington, DE", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "01/30/2024", "StartDocuments": [ "AA-ENF-2023-48" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2023-48", "SubjectMatters": [ "Elder Abuse", "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "Santander Bank, National Association", "CharterNumber": "25022", "Company": "", "Individual": "Walter F. Mills", "Location": "Wilmington, DE", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "12/13/2019", "StartDocuments": [ "2019-073" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2019-11", "SubjectMatters": [ "Fraud/Forgery", "Insider Issues", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Santander Bank, National Association", "CharterNumber": "25022", "Company": "", "Individual": "Walter F. Mills", "Location": "Wilmington, DE", "TypeCode": "Notice", "TypeDescription": "Notice of Charges", "Amount": "0.00", "StartDate": "05/20/2019", "StartDocuments": [ "N19-005" ], "TerminationDate": "12/13/2019", "TerminationDocuments": [ "2019-073" ], "DocketNumber": "AA-EC-2019-11", "SubjectMatters": [ "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Santander Bank, National Association", "CharterNumber": "25022", "Company": "", "Individual": "Amilcar Sanchez", "Location": "Wilmington, DE", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "05/07/2025", "StartDocuments": [ "AA-ENF-2025-17" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2025-17", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "Santander Bank, National Association", "CharterNumber": "25022", "Company": "", "Individual": "Kristin Sanguinetti", "Location": "Wilmington, DE", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "05/21/2025", "StartDocuments": [ "AA-ENF-2025-29" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2025-29", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "Santander Bank, National Association", "CharterNumber": "25022", "Company": "", "Individual": "Isha-Lee Savage", "Location": "Wilmington, DE", "TypeCode": "1829", "TypeDescription": "1829 Prohibition Notification", "Amount": "0.00", "StartDate": "05/23/2024", "StartDocuments": [ "2024-30" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Violation Cited (Criminal Statute)" ] }, { "Institution": "Santander Bank, National Association", "CharterNumber": "25022", "Company": "", "Individual": "Michael Trujillo", "Location": "Wilmington, DE", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "05/01/2018", "StartDocuments": [ "2018-041" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2018-3", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "Scb Bank", "CharterNumber": "704044", "Company": "", "Individual": "", "Location": "Shelbyville, IN", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "05/11/2011", "StartDocuments": [ "CN 11-12" ], "TerminationDate": "02/10/2012", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Scb Bank", "CharterNumber": "704044", "Company": "", "Individual": "Randy Collier", "Location": "Shelbyville, IN", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "12/17/2014", "StartDocuments": [ "2014-157" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-14-88", "SubjectMatters": [ "Appraisals", "Fraud/Forgery", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Legal Lending Limit", "Lending Issues", "Nominee Lending", "Other Lending Deficiencies", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Scb Bank", "CharterNumber": "704044", "Company": "", "Individual": "Randy Collier", "Location": "Shelbyville, IN", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "50000.00", "StartDate": "12/17/2014", "StartDocuments": [ "2014-157" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-14-88", "SubjectMatters": [ "Appraisals", "Fraud/Forgery", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Legal Lending Limit", "Lending Issues", "Nominee Lending", "Other Lending Deficiencies", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Scottsbluff National Bank And Trust Company", "CharterNumber": "9581", "Company": "", "Individual": "Lavon Ilene Hansen", "Location": "Scottsbluff, NE", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "11/27/1989", "StartDocuments": [ "19" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Seacoast National Bank", "CharterNumber": "14838", "Company": "", "Individual": "", "Location": "Stuart, FL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "26950.00", "StartDate": "02/11/2013", "StartDocuments": [ "2013-012" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [ "Consumer Law", "Flood Insurance" ] }, { "Institution": "Seacoast National Bank", "CharterNumber": "14838", "Company": "", "Individual": "", "Location": "Stuart, FL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "12/16/2008", "StartDocuments": [ "2008-162" ], "TerminationDate": "09/19/2013", "TerminationDocuments": [ "2013-216" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Seacoast National Bank", "CharterNumber": "14838", "Company": "", "Individual": "", "Location": "Stuart, FL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "16500.00", "StartDate": "07/25/2006", "StartDocuments": [ "2006-83" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-SO-06-73", "SubjectMatters": [] }, { "Institution": "Seaside National Bank & Trust", "CharterNumber": "24649", "Company": "", "Individual": "", "Location": "Orlando, FL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "05/03/2010", "StartDocuments": [ "2010-122" ], "TerminationDate": "07/02/2012", "TerminationDocuments": [ "2012-175" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Seattle-First National Bank", "CharterNumber": "11280", "Company": "", "Individual": "", "Location": "Seattle, WA", "TypeCode": "SEC", "TypeDescription": "Securities Enforcement Action", "Amount": "0.00", "StartDate": "06/15/1994", "StartDocuments": [ "94-103" ], "TerminationDate": "01/31/1997", "TerminationDocuments": [], "DocketNumber": "AA-EC-94-4", "SubjectMatters": [] }, { "Institution": "Seaway National Bank Of Chicago", "CharterNumber": "15459", "Company": "", "Individual": "", "Location": "Chicago, Il", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "01/22/2002", "StartDocuments": [ "2002-7" ], "TerminationDate": "11/07/2002", "TerminationDocuments": [ "2002-120" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Seaway National Bank of Chicago", "CharterNumber": "15459", "Company": "", "Individual": "", "Location": "Chicago, IL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "11/07/2002", "StartDocuments": [ "2002-120" ], "TerminationDate": "04/29/2002", "TerminationDocuments": [ "2004-168" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Seaway National Bank of Chicago", "CharterNumber": "15459", "Company": "", "Individual": "Richard Abrams", "Location": "Chicago, IL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "7500.00", "StartDate": "07/14/2008", "StartDocuments": [ "2008-072" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-08-36", "SubjectMatters": [] }, { "Institution": "Security Bank National Association", "CharterNumber": "16870", "Company": "", "Individual": "", "Location": "North Lauderdale, FL", "TypeCode": "PCAD", "TypeDescription": "Prompt Corrective Action (PCA) Directive", "Amount": "0.00", "StartDate": "03/23/2012", "StartDocuments": [ "2012-076" ], "TerminationDate": "05/04/2012", "TerminationDocuments": [], "DocketNumber": "AA-EC-12-43", "SubjectMatters": [ "Capital", "Prompt Corrective Action" ] }, { "Institution": "Security Bank National Association", "CharterNumber": "16870", "Company": "", "Individual": "", "Location": "North Lauderdale, FL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "05/19/2010", "StartDocuments": [ "2010-097" ], "TerminationDate": "05/04/2012", "TerminationDocuments": [], "DocketNumber": "AA-EC-10-36", "SubjectMatters": [] }, { "Institution": "Security Bank National Association", "CharterNumber": "16870", "Company": "", "Individual": "", "Location": "North Lauderdale, FL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "04/03/2008", "StartDocuments": [ "2008-043" ], "TerminationDate": "05/19/2010", "TerminationDocuments": [ "2010-097" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Security Bank National Association", "CharterNumber": "16870", "Company": "", "Individual": "Mitchell Aronson", "Location": "North Lauderdale, FL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000.00", "StartDate": "01/04/2013", "StartDocuments": [ "2013-006" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-12-93", "SubjectMatters": [ "Violation Cited (Other)" ] }, { "Institution": "Security Bank National Association", "CharterNumber": "16870", "Company": "", "Individual": "Blas Betancourt", "Location": "North Lauderdale, FL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000.00", "StartDate": "07/30/2014", "StartDocuments": [ "2014-099" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-12-97", "SubjectMatters": [ "Breach of Fiduciary Duty", "Lending Issues", "Loans to Insiders (incl. Reg O)", "Other Lending Deficiencies", "Violation Cited (Other)" ] }, { "Institution": "Security Bank National Association", "CharterNumber": "16870", "Company": "", "Individual": "Harold Connell", "Location": "North Lauderdale, FL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "01/02/2013", "StartDocuments": [ "2013-007" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-12-94", "SubjectMatters": [ "Breach of Fiduciary Duty", "BSA Program Violation / 12 CFR 21.21", "BSA SAR Violation / 12 CFR 21.11 or 163.180", "BSA Violation Cited", "BSA/AML", "SAR/CTR Monitoring/Filing Issue", "Violation Cited (Other)" ] }, { "Institution": "Security Bank National Association", "CharterNumber": "16870", "Company": "", "Individual": "Harold Connell", "Location": "North Lauderdale, FL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "20000.00", "StartDate": "01/02/2013", "StartDocuments": [ "2013-007" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-12-94", "SubjectMatters": [ "Breach of Fiduciary Duty", "BSA Program Violation / 12 CFR 21.21", "BSA SAR Violation / 12 CFR 21.11 or 163.180", "BSA Violation Cited", "BSA/AML", "SAR/CTR Monitoring/Filing Issue", "Violation Cited (Other)" ] }, { "Institution": "Security Bank National Association", "CharterNumber": "16870", "Company": "", "Individual": "Harold Connell", "Location": "North Lauderdale, FL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "6500.00", "StartDate": "10/27/2010", "StartDocuments": [ "2010-211" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-10-87", "SubjectMatters": [] }, { "Institution": "Security Bank National Association", "CharterNumber": "16870", "Company": "", "Individual": "Robert Diez", "Location": "North Lauderdale, FL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "01/03/2013", "StartDocuments": [ "2013-008" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-12-95", "SubjectMatters": [ "Breach of Fiduciary Duty", "BSA Program Violation / 12 CFR 21.21", "BSA SAR Violation / 12 CFR 21.11 or 163.180", "BSA Violation Cited", "BSA/AML", "Lending Issues", "Loans to Insiders (incl. Reg O)", "Other Lending Deficiencies", "SAR/CTR Monitoring/Filing Issue", "Violation Cited (Other)" ] }, { "Institution": "Security Bank National Association", "CharterNumber": "16870", "Company": "", "Individual": "Robert Diez", "Location": "North Lauderdale, FL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "15000.00", "StartDate": "01/02/2013", "StartDocuments": [ "2013-008" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-12-95", "SubjectMatters": [ "Breach of Fiduciary Duty", "BSA Program Violation / 12 CFR 21.21", "BSA SAR Violation / 12 CFR 21.11 or 163.180", "BSA Violation Cited", "BSA/AML", "Lending Issues", "Loans to Insiders (incl. Reg O)", "Other Lending Deficiencies", "SAR/CTR Monitoring/Filing Issue", "Violation Cited (Other)" ] }, { "Institution": "Security Bank National Association", "CharterNumber": "16870", "Company": "", "Individual": "Robert Diez", "Location": "North Lauderdale, FL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "6500.00", "StartDate": "11/23/2010", "StartDocuments": [ "2010-255" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-10-88", "SubjectMatters": [] }, { "Institution": "Security Bank National Association", "CharterNumber": "16870", "Company": "", "Individual": "Manual Fernandez", "Location": "North Lauderdale, FL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "01/02/2013", "StartDocuments": [ "2013-009" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-12-98", "SubjectMatters": [ "Breach of Fiduciary Duty", "BSA Program Violation / 12 CFR 21.21", "BSA SAR Violation / 12 CFR 21.11 or 163.180", "BSA Violation Cited", "BSA/AML", "SAR/CTR Monitoring/Filing Issue", "Violation Cited (Other)" ] }, { "Institution": "Security Bank National Association", "CharterNumber": "16870", "Company": "", "Individual": "Manual Fernandez", "Location": "North Lauderdale, FL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000.00", "StartDate": "01/02/2013", "StartDocuments": [ "2013-009" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-12-98", "SubjectMatters": [ "Breach of Fiduciary Duty", "BSA Program Violation / 12 CFR 21.21", "BSA SAR Violation / 12 CFR 21.11 or 163.180", "BSA Violation Cited", "BSA/AML", "SAR/CTR Monitoring/Filing Issue", "Violation Cited (Other)" ] }, { "Institution": "Security Bank National Association", "CharterNumber": "16870", "Company": "", "Individual": "Manuel Fernandez", "Location": "North Lauderdale, FL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "6500.00", "StartDate": "11/23/2010", "StartDocuments": [ "2010-256" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-10-89", "SubjectMatters": [] }, { "Institution": "Security Bank National Association", "CharterNumber": "16870", "Company": "", "Individual": "Floyd Harper", "Location": "North Lauderdale, FL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "01/02/2013", "StartDocuments": [ "2013-110" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-12-99", "SubjectMatters": [ "Breach of Fiduciary Duty", "BSA Program Violation / 12 CFR 21.21", "BSA SAR Violation / 12 CFR 21.11 or 163.180", "BSA Violation Cited", "BSA/AML", "SAR/CTR Monitoring/Filing Issue", "Violation Cited (Other)" ] }, { "Institution": "Security Bank National Association", "CharterNumber": "16870", "Company": "", "Individual": "Floyd Harper", "Location": "North Lauderdale, FL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "8500.00", "StartDate": "01/02/2013", "StartDocuments": [ "2013-110" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-12-99", "SubjectMatters": [ "Breach of Fiduciary Duty", "BSA Program Violation / 12 CFR 21.21", "BSA SAR Violation / 12 CFR 21.11 or 163.180", "BSA Violation Cited", "BSA/AML", "SAR/CTR Monitoring/Filing Issue", "Violation Cited (Other)" ] }, { "Institution": "Security Bank National Association", "CharterNumber": "16870", "Company": "", "Individual": "Floyd Harper", "Location": "North Lauderdale, FL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "6500.00", "StartDate": "11/23/2010", "StartDocuments": [ "2010-257" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-10-90", "SubjectMatters": [] }, { "Institution": "Security Bank National Association", "CharterNumber": "16870", "Company": "", "Individual": "Timothy Kenney", "Location": "North Lauderdale, FL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "01/02/2013", "StartDocuments": [ "2013-111" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-12-96", "SubjectMatters": [ "Breach of Fiduciary Duty", "BSA Program Violation / 12 CFR 21.21", "BSA SAR Violation / 12 CFR 21.11 or 163.180", "BSA Violation Cited", "BSA/AML", "SAR/CTR Monitoring/Filing Issue", "Violation Cited (Other)" ] }, { "Institution": "Security Bank National Association", "CharterNumber": "16870", "Company": "", "Individual": "Timothy Kenney", "Location": "North Lauderdale, FL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "15000.00", "StartDate": "01/02/2013", "StartDocuments": [ "2013-111" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-12-96", "SubjectMatters": [ "Breach of Fiduciary Duty", "BSA Program Violation / 12 CFR 21.21", "BSA SAR Violation / 12 CFR 21.11 or 163.180", "BSA Violation Cited", "BSA/AML", "SAR/CTR Monitoring/Filing Issue", "Violation Cited (Other)" ] }, { "Institution": "Security Bank National Association", "CharterNumber": "16870", "Company": "", "Individual": "Timothy Kenney", "Location": "North Lauderdale, FL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "6500.00", "StartDate": "11/23/2010", "StartDocuments": [ "2010-258" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-10-91", "SubjectMatters": [] }, { "Institution": "Security Bank National Association", "CharterNumber": "16870", "Company": "", "Individual": "Larry Serlo", "Location": "North Lauderdale, FL", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "09/09/2014", "StartDocuments": [ "2014-116" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-12-92", "SubjectMatters": [ "Breach of Fiduciary Duty", "BSA Program Violation / 12 CFR 21.21", "BSA SAR Violation / 12 CFR 21.11 or 163.180", "BSA Violation Cited", "BSA/AML", "Insider Issues", "Lending Issues", "Loans to Insiders (incl. Reg O)", "SAR/CTR Monitoring/Filing Issue", "Violation Cited (Other)" ] }, { "Institution": "Security Bank National Association", "CharterNumber": "16870", "Company": "", "Individual": "Larry Serlo", "Location": "North Lauderdale, FL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "15000.00", "StartDate": "09/09/2014", "StartDocuments": [ "2014-116" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-12-92", "SubjectMatters": [ "Breach of Fiduciary Duty", "BSA Program Violation / 12 CFR 21.21", "BSA SAR Violation / 12 CFR 21.11 or 163.180", "BSA Violation Cited", "BSA/AML", "Insider Issues", "Lending Issues", "Loans to Insiders (incl. Reg O)", "SAR/CTR Monitoring/Filing Issue", "Violation Cited (Other)" ] }, { "Institution": "Security Bank National Association", "CharterNumber": "16870", "Company": "", "Individual": "Larry Serlo", "Location": "North Lauderdale, FL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "6500.00", "StartDate": "01/12/2011", "StartDocuments": [ "2011-002" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-10-92", "SubjectMatters": [] }, { "Institution": "Security Bank Of Denver National Association", "CharterNumber": "15009", "Company": "", "Individual": "David L. Moll", "Location": "Denver, CO", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "4000.00", "StartDate": "09/11/1989", "StartDocuments": [ "15" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Security Bank Of Denver National Association", "CharterNumber": "15009", "Company": "", "Individual": "Marvin W. Moll", "Location": "Denver, CO", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "20000.00", "StartDate": "11/13/1989", "StartDocuments": [ "15" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-89-27", "SubjectMatters": [] }, { "Institution": "Security Bank Of South Dakota, N.A.", "CharterNumber": "9587", "Company": "", "Individual": "Marcie A. Nordstrom", "Location": "Fort Pierre, SD", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2000.00", "StartDate": "06/05/1996", "StartDocuments": [ "96-43" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-96-02", "SubjectMatters": [] }, { "Institution": "Security Bank Of South Dakota, N.A.", "CharterNumber": "9587", "Company": "", "Individual": "Paul H. Nordstrom", "Location": "Fort Pierre, SD", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000.00", "StartDate": "06/05/1996", "StartDocuments": [ "96-43" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-96-01", "SubjectMatters": [] }, { "Institution": "Security Bank Of South Dakota, National Association", "CharterNumber": "9587", "Company": "", "Individual": "", "Location": "Fort Pierre, SD", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "08/12/1991", "StartDocuments": [ "340" ], "TerminationDate": "02/05/1993", "TerminationDocuments": [ "93-81" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Security Bank, National Association", "CharterNumber": "16870", "Company": "", "Individual": "", "Location": "North Lauderdale, FL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "12/19/1991", "StartDocuments": [ "457" ], "TerminationDate": "06/20/1994", "TerminationDocuments": [ "94-118" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Security Federal Savings Bank", "CharterNumber": "702578", "Company": "", "Individual": "", "Location": "Logansport, IN", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "12/21/2010", "StartDocuments": [ "CN 10-41" ], "TerminationDate": "06/27/2012", "TerminationDocuments": [ "2012-176" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Security National Bank", "CharterNumber": "21644", "Company": "", "Individual": "", "Location": "Pottstown, PA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "04/28/1993", "StartDocuments": [ "642" ], "TerminationDate": "12/21/1993", "TerminationDocuments": [ "93-397" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Security National Bank", "CharterNumber": "12308", "Company": "", "Individual": "S. 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"StartDate": "08/08/2001", "StartDocuments": [ "2001-72" ], "TerminationDate": "09/07/2001", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Sinclair National Bank", "CharterNumber": "23126", "Company": "", "Individual": "Helen Davis Chaitman", "Location": "Gravette, AR", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000.00", "StartDate": "09/22/2004", "StartDocuments": [ "2004-98" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-04-83", "SubjectMatters": [] }, { "Institution": "Sinclair National Bank", "CharterNumber": "23126", "Company": "Wolf Haldenstein Adler Freeman & Herz, LLP", "Individual": "", "Location": "Gravette, AR", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "11/30/2004", "StartDocuments": [ "2004-140" ], "TerminationDate": "", "TerminationDocuments": [], 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"Company": "", "Individual": "Christopher Sangster", "Location": "Chicago, IL", "TypeCode": "Notice", "TypeDescription": "Notice of Charges", "Amount": "0.00", "StartDate": "02/06/2020", "StartDocuments": [ "N20-002" ], "TerminationDate": "05/17/2021", "TerminationDocuments": [ "2022-049" ], "DocketNumber": "AA-CE-2019-58", "SubjectMatters": [ "Breach of Fiduciary Duty", "Fraud/Forgery", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "South County Bank, National Association", "CharterNumber": "23801", "Company": "", "Individual": "", "Location": "Rancho Santa Margarita, CA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "01/24/2011", "StartDocuments": [ "2011-010" ], "TerminationDate": "05/24/2016", "TerminationDocuments": [ "2016-059" ], "DocketNumber": "AA-EC-11-05", 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"DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Southbank, A Federal Savings Bank", "CharterNumber": "708854", "Company": "", "Individual": "", "Location": "Huntsville, AL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "05/21/2009", "StartDocuments": [ "SE 09-027" ], "TerminationDate": "03/28/2012", "TerminationDocuments": [ "2012-125" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Southbank, A Federal Savings Bank", "CharterNumber": "711351", "Company": "", "Individual": "", "Location": "Palm Beach Gardens, FL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "05/21/2009", "StartDocuments": [ "SA" ], "TerminationDate": "03/28/2012", "TerminationDocuments": [ "2012-092" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Southbank, A Federal Savings Bank", "CharterNumber": "708854", "Company": "", "Individual": "Danny Wiginton", "Location": "Huntsville, AL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "01/07/2016", "StartDocuments": [ "2016-009" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2015-90", "SubjectMatters": [ "Breach of Fiduciary Duty", "Inaccurate / Incomplete / False Books and Records" ] }, { "Institution": "Southeast Bank, N.A.", "CharterNumber": "15638", "Company": "", "Individual": "Charles J. 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Mackie", "Location": "Greenville, SC", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "03/15/2011", "StartDocuments": [ "2011-028" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-11-32", "SubjectMatters": [] }, { "Institution": "Southern First Bank, National Association", "CharterNumber": "23919", "Company": "", "Individual": "Collin D. 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"TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Stemmons Northwest Bank, N.A.", "CharterNumber": "18592", "Company": "", "Individual": "", "Location": "Dallas, TX", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "04/15/1991", "StartDocuments": [ "235" ], "TerminationDate": "10/22/1992", "TerminationDocuments": [ "1022" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Stephens Federal Bank", "CharterNumber": "703576", "Company": "", "Individual": "", "Location": "Toccoa, GA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "09/15/2011", "StartDocuments": [ "2011-129" ], "TerminationDate": "12/01/2014", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Sterling Bank and Trust, FSB", "CharterNumber": "708028", "Company": "", "Individual": "", "Location": "Southfield, MI", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "6000000.00", "StartDate": "09/27/2022", "StartDocuments": [ "2022-039" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-ENF-2022-35", "SubjectMatters": [ "BSA Internal Controls", "BSA Pillar Violation / 12 CFR 21.21(d)", "BSA Violation Cited", "BSA/AML", "Consumer Law", "Fraud/Forgery", "Insider Issues", "Lending Issues", "Other Lending Deficiencies", "SAR/CTR Monitoring/Filing Issue", "TILA/RESPA", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Sterling Bank and Trust, FSB", "CharterNumber": "708028", "Company": "", "Individual": "", "Location": "Southfield, MI", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "06/18/2019", "StartDocuments": [ "2019-039" ], "TerminationDate": "09/27/2022", "TerminationDocuments": [ "2022-038" ], "DocketNumber": "", "SubjectMatters": [ "BSA Officer", "BSA Risk Assessment", "BSA/AML", "Customer/Enhanced Due Diligence (CDD/EDD)", "Lending Issues", "Other Lending Deficiencies", "SAR/CTR Monitoring/Filing Issue" ] }, { "Institution": "Sterling Bank and Trust, FSB", "CharterNumber": "708028", "Company": "", "Individual": "", "Location": "Southfield, MI", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "03/19/2012", "StartDocuments": [ "2012-071" ], "TerminationDate": "05/30/2013", "TerminationDocuments": [ "2013-082" ], "DocketNumber": "", "SubjectMatters": [ "Asset Quality", "Capital", "Credit/Collateral Exceptions", "Lending Issues", "Problem Loan Identification" ] }, { "Institution": "Sterling Bank and Trust, FSB", "CharterNumber": "708028", "Company": "", "Individual": "", "Location": "Southfield, MI", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "08/04/2009", "StartDocuments": [ "CN 09-22" ], "TerminationDate": "04/05/2012", "TerminationDocuments": [ "2012-078" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Sterling Bank and Trust, FSB", "CharterNumber": "708028", "Company": "", "Individual": "Stephen Adams", "Location": "Southfield, MI", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "02/05/2024", "StartDocuments": [ "AA-ENF-2023-71" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2023-71", "SubjectMatters": [ "Breach of Fiduciary Duty", "Consumer Law", "Lending Issues", "Other Lending Deficiencies", "TILA/RESPA" ] }, { "Institution": "Sterling Bank and Trust, FSB", "CharterNumber": "708028", "Company": "", "Individual": "Stephen Adams", "Location": "Southfield, MI", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "50000.00", "StartDate": "02/05/2024", "StartDocuments": [ "AA-ENF-2023-71" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-ENF-2023-71", "SubjectMatters": [ "Breach of Fiduciary Duty", "Consumer Law", "Lending Issues", "Other Lending Deficiencies", "TILA/RESPA" ] }, { "Institution": "Sterling Bank and Trust, FSB", "CharterNumber": "708028", "Company": "", "Individual": "Tina Chen", "Location": "Southfield, MI", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "11/03/2022", "StartDocuments": [ "2022-055" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2022-50", "SubjectMatters": [] }, { "Institution": "Sterling Bank and Trust, FSB", "CharterNumber": "708028", "Company": "", "Individual": "Tina Chen", "Location": "Southfield, MI", "TypeCode": "Notice", "TypeDescription": "Notice of Charges", "Amount": "0.00", "StartDate": "10/25/2022", "StartDocuments": [ "N22-001" ], "TerminationDate": "11/03/2022", "TerminationDocuments": [ "2022-055", "AA-ENF-2022-50T" ], "DocketNumber": "OCC AA-ENF-2022-50", "SubjectMatters": [ "Consumer Law", "Fraud/Forgery", "Insider Issues", "Lending Issues", "Other Lending Deficiencies", "TILA/RESPA", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Sterling Bank and Trust, FSB", "CharterNumber": "708028", "Company": "", "Individual": "YiHou Han", "Location": "Southfield, MI", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "10/28/2022", "StartDocuments": [ "2022-056" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2022-52", "SubjectMatters": [ "Breach of Fiduciary Duty", "Fraud/Forgery", "Insider Issues", "Lending Issues", "Other Lending Deficiencies", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Sterling Bank and Trust, FSB", "CharterNumber": "708028", "Company": "", "Individual": "Hao Liang \"Frank\" Hu", "Location": "Southfield, MI", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "12/05/2022", "StartDocuments": [ "2022-062" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2022-54", "SubjectMatters": [ "Breach of Fiduciary Duty", "Fraud/Forgery", "Insider Issues", "Lending Issues", "Other Lending Deficiencies", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Sterling Bank and Trust, FSB", "CharterNumber": "708028", "Company": "", "Individual": "Qian Hu", "Location": "Southfield, MI", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "12/05/2022", "StartDocuments": [ "2022-063" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2022-51", "SubjectMatters": [ "Breach of Fiduciary Duty", "Fraud/Forgery", "Insider Issues", "Lending Issues", "Other Lending Deficiencies" ] }, { "Institution": "Sterling Bank and Trust, FSB", "CharterNumber": "708028", "Company": "", "Individual": "Gary 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"SubjectMatters": [ "Board / Management Oversight", "BSA Pillar Violation / 12 CFR 21.21(d)", "BSA Violation Cited", "BSA/AML", "Compliance Risk Management", "Consumer Law", "Enterprise Governance / Internal Controls / General Risk Management", "Lending Issues", "Other Lending Deficiencies", "TILA/RESPA" ] }, { "Institution": "Sterling Bank and Trust, FSB", "CharterNumber": "708028", "Company": "", "Individual": "Colleen Kimmel", "Location": "Southfield, MI", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "02/08/2024", "StartDocuments": [ "AA-ENF-2023-69" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2023-69", "SubjectMatters": [ "BSA Internal Controls", "BSA/AML", "Lending Issues", "Other Lending Deficiencies", "SAR/CTR Monitoring/Filing Issue" ] }, { "Institution": "Sterling Bank and Trust, FSB", "CharterNumber": "708028", "Company": "", "Individual": "Jonathan Kolk", "Location": "Southfield, MI", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "01/31/2024", "StartDocuments": [ "AA-ENF-2023-70" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2023-70", "SubjectMatters": [ "Consumer Law", "Lending Issues", "Other Lending Deficiencies", "TILA/RESPA" ] }, { "Institution": "Sterling Bank and Trust, FSB", "CharterNumber": "708028", "Company": "", "Individual": "Thomas Lopp", "Location": "Southfield, MI", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "02/13/2024", "StartDocuments": [ "AA-ENF-2023-73" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2023-73", "SubjectMatters": [ "Board / Management Oversight", "BSA Pillar Violation / 12 CFR 21.21(d)", "BSA Violation Cited", "BSA/AML", "Compliance Risk Management", "Consumer Law", 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"TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "10/28/2022", "StartDocuments": [ "2022-057" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2022-53", "SubjectMatters": [ "Breach of Fiduciary Duty", "Fraud/Forgery", "Insider Issues", "Lending Issues", "Other Lending Deficiencies", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Sterling Bank and Trust, FSB", "CharterNumber": "708028", "Company": "", "Individual": "Michael Montemayor", "Location": "Southfield, MI", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "02/15/2024", "StartDocuments": [ "AA-ENF-2023-72" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2023-72", "SubjectMatters": [ "Compliance Risk Management", "Consumer Law", "Enterprise Governance / Internal Controls / General Risk Management", "Lending Issues", "Other Lending Deficiencies", 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"DocketNumber": "AA-ENF-2023-75", "SubjectMatters": [ "Compliance Risk Management", "Consumer Law", "Enterprise Governance / Internal Controls / General Risk Management", "Lending Issues", "TILA/RESPA" ] }, { "Institution": "Sterling Bank and Trust, FSB", "CharterNumber": "708028", "Company": "", "Individual": "Scott Seligman", "Location": "Southfield, MI", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "400000.00", "StartDate": "03/25/2024", "StartDocuments": [ "AA-ENF-2023-75" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-ENF-2023-75", "SubjectMatters": [ "Compliance Risk Management", "Consumer Law", "Enterprise Governance / Internal Controls / General Risk Management", "Lending Issues", "TILA/RESPA" ] }, { "Institution": "Sterling Federal Bank, F.S.B.", "CharterNumber": "700073", "Company": "", "Individual": "", "Location": "Sterling, IL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "05/22/2025", "StartDocuments": [ "AA-CE-2025-22" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-CE-2025-22", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Capital", "Concentration Risk Management", "Credit/Collateral Exceptions", "Earnings", "Lending Issues", "Liquidity", "Loan Review", "Other Lending Deficiencies", "Problem Loan Identification", "Strategic Planning" ] }, { "Institution": "Sterling Federal Bank, F.S.B.", "CharterNumber": "700073", "Company": "", "Individual": "", "Location": "Sterling, IL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "06/21/2010", "StartDocuments": [ "SA" ], "TerminationDate": "04/28/2015", "TerminationDocuments": [ "2015-041" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Stewardson National Bank, The", "CharterNumber": "13226", "Company": "", "Individual": "John Richards", "Location": "Stewardson, IL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "11/18/2004", "StartDocuments": [ "2004-146" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Stillwater National Bank and Trust Company", "CharterNumber": "5347", "Company": "", "Individual": "", "Location": "Stillwater, OK", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "01/27/2010", "StartDocuments": [ "2010-034" ], "TerminationDate": "05/17/2012", "TerminationDocuments": [ "2012-121" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Stone County National Bank", "CharterNumber": "18008", "Company": "", "Individual": "", "Location": "Crane, MO", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "06/25/2009", "StartDocuments": [ "2009-111" ], "TerminationDate": "01/02/2013", "TerminationDocuments": [ "2013-035" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Stone County National Bank", "CharterNumber": "18008", "Company": "", "Individual": "Edward D. 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"TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-94-31 & 32", "SubjectMatters": [] }, { "Institution": "Summit National Bank", "CharterNumber": "18668", "Company": "", "Individual": "Norman Nejaime", "Location": "Torrington, CT", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "29160.00", "StartDate": "12/15/1995", "StartDocuments": [ "95-87" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-94-31 & 32", "SubjectMatters": [] }, { "Institution": "Summit National Bank", "CharterNumber": "18668", "Company": "", "Individual": "William Summa", "Location": "Torrington, CT", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3000.00", "StartDate": "01/31/1996", "StartDocuments": [ "96-1" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-94-31", "SubjectMatters": [] }, { "Institution": "Summit National Bank", "CharterNumber": "18668", "Company": "", 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"TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-CE-2015-50", "SubjectMatters": [ "Consumer Law", "Flood Insurance" ] }, { "Institution": "Sun Bank Capital Management, National Association", "CharterNumber": "21888", "Company": "", "Individual": "", "Location": "Orlando, FL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10800.00", "StartDate": "02/09/1990", "StartDocuments": [ "36" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-90-19", "SubjectMatters": [] }, { "Institution": "Sun National Bank", "CharterNumber": "18606", "Company": "", "Individual": "", "Location": "Vineland, NJ", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "25000.00", "StartDate": "01/22/2016", "StartDocuments": [ "2016-020" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-NE-2015-108", "SubjectMatters": [ "Consumer Law", "Fair Lending", 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"Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "04/21/1997", "StartDocuments": [ "97-25" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Sunflower Bank, National Association", "CharterNumber": "4742", "Company": "", "Individual": "", "Location": "Salina, KS", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "08/10/1999", "StartDocuments": [ "99-55" ], "TerminationDate": "11/16/1999", "TerminationDocuments": [ "99-111" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Sunflower Bank, National Association", "CharterNumber": "4742", "Company": "", "Individual": "", "Location": "Salina, KS", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "25000.00", "StartDate": "08/10/1999", "StartDocuments": [ "99-55" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Sunshine Savings Bank", "CharterNumber": "717971", "Company": "", "Individual": "", "Location": "Tallahassee, FL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "09/10/2010", "StartDocuments": [ "SA" ], "TerminationDate": "12/20/2012", "TerminationDocuments": [ "2012-275" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Suntrust Bank Central Florida, N.A.", "CharterNumber": "16108", "Company": "", "Individual": "Curtis Rethwisch", "Location": "Orlando, FL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "12/31/1999", "StartDocuments": [ "99-103" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Superior Bank", "CharterNumber": "718010", "Company": "", "Individual": "Charles Stanley Bailey", "Location": "Birmingham, AL", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "02/03/2016", "StartDocuments": [ "2016-025" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-16-01", "SubjectMatters": [ "Appraisals", "Lending Issues", "Other Lending Deficiencies" ] }, { "Institution": "Superior Bank", "CharterNumber": "718010", "Company": "", "Individual": "John Figlweski", "Location": "Birmingham, AL", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "03/03/2016", "StartDocuments": [ "2016-026" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-16-08", "SubjectMatters": [ "Appraisals", "Credit/Collateral Exceptions", "Lending Issues", "Other Lending Deficiencies", "Violation Cited (Other)" ] }, { "Institution": "Superior Bank", "CharterNumber": "718010", "Company": "", "Individual": "George Hall", 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McKinnon", "Location": "Birmingham, AL", "TypeCode": "Notice", "TypeDescription": "Notice of Charges", "Amount": "0.00", "StartDate": "06/24/2016", "StartDocuments": [ "N16-003" ], "TerminationDate": "12/27/2016", "TerminationDocuments": [ "2016-115", "2016-125" ], "DocketNumber": "AA-EC-2016-07", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Appraisals", "Asset Quality", "Capital", "Credit/Collateral Exceptions", "Earnings", "Inaccurate / Incomplete / False Books and Records", "Lending Issues", "Other Lending Deficiencies", "Problem Loan Identification" ] }, { "Institution": "Superior Bank", "CharterNumber": "718010", "Company": "", "Individual": "Robert Parrish", "Location": "Birmingham, AL", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "03/17/2016", "StartDocuments": [ "2016-039" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-16-09", "SubjectMatters": [ "Appraisals", "Lending Issues", "Other Lending Deficiencies" ] }, { "Institution": "Superior Bank", "CharterNumber": "718010", "Company": "", "Individual": "Kenneth Pomeroy", "Location": "Birmingham, AL", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "10/21/2016", "StartDocuments": [ "2016-100" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-16-03", "SubjectMatters": [] }, { "Institution": "Superior Bank", "CharterNumber": "718010", "Company": "", "Individual": "Kenneth D. 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Reg O)" ] }, { "Institution": "Superior Bank", "CharterNumber": "718010", "Company": "", "Individual": "Charles Marvin Scott", "Location": "Birmingham, AL", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "03/03/2016", "StartDocuments": [ "2016-030" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-16-06", "SubjectMatters": [ "Appraisals", "Credit/Collateral Exceptions", "Lending Issues", "Other Lending Deficiencies", "Violation Cited (Other)" ] }, { "Institution": "Superior National Bank", "CharterNumber": "18406", "Company": "", "Individual": "", "Location": "Kansas City, MO", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "09/03/1992", "StartDocuments": [ "708" ], "TerminationDate": "04/14/1994", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Surety Bank, National Association", "CharterNumber": "15187", "Company": "", "Individual": "", "Location": "Hurst, TX", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "11/30/1999", "StartDocuments": [ "99-131" ], "TerminationDate": "02/18/2003", "TerminationDocuments": [ "2003-12" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Surety Bank, National Association", "CharterNumber": "15187", "Company": "", "Individual": "", "Location": "Hurst, TX", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "11/19/1998", "StartDocuments": [ "98-68" ], "TerminationDate": "02/18/2003", "TerminationDocuments": [ "2003-12" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Surety Bank, National Association", "CharterNumber": "15187", "Company": "", "Individual": "", "Location": "Fort Worth, TX", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "06/22/2004", "StartDocuments": [ "2004-65" ], "TerminationDate": "06/01/2005", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Surety Bank, National Association", "CharterNumber": "15187", "Company": "", "Individual": "", "Location": "Fort Worth, TX", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "02/18/2003", "StartDocuments": [ "2003-12" ], "TerminationDate": "06/22/2004", "TerminationDocuments": [ "2004-65" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Surety Bank, National Association", "CharterNumber": "15187", "Company": "", "Individual": "Richard N. Abrams", "Location": "Fort Worth, TX", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "06/11/2007", "StartDocuments": [ "2007-071" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-06-114", "SubjectMatters": [] }, { "Institution": "Surety Bank, National Association", "CharterNumber": "15187", "Company": "", "Individual": "Richard N. 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Heinzelmann", "Location": "Fort Worth, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "16000.00", "StartDate": "04/01/2003", "StartDocuments": [ "2003-24" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-02-05", "SubjectMatters": [] }, { "Institution": "Swineford National Bank", "CharterNumber": "7003", "Company": "", "Individual": "", "Location": "Middleburg, PA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "07/14/2014", "StartDocuments": [ "2014-087" ], "TerminationDate": "10/27/2017", "TerminationDocuments": [ "2017-102" ], "DocketNumber": "AA-EC-2014-69", "SubjectMatters": [ "BSA Internal Controls", "BSA Risk Assessment", "BSA/AML", "Customer/Enhanced Due Diligence (CDD/EDD)", "SAR/CTR Monitoring/Filing Issue" ] }, { "Institution": "Swineford National Bank", "CharterNumber": "7003", "Company": "", "Individual": "", "Location": "Middleburg, PA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "33880.00", "StartDate": "09/18/2013", "StartDocuments": [ "2013-168" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-13-57", "SubjectMatters": [ "Consumer Law", "Flood Insurance" ] }, { "Institution": "T Bank, National Association", "CharterNumber": "24467", "Company": "", "Individual": "", "Location": "Dallas, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "100000.00", "StartDate": "04/15/2010", "StartDocuments": [ "2010-067" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-09-104", "SubjectMatters": [] }, { "Institution": "T Bank, National Association", "CharterNumber": "24467", "Company": "", "Individual": "", "Location": "Dallas, TX", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "04/15/2010", "StartDocuments": [ "2010-068" ], "TerminationDate": "08/30/2012", "TerminationDocuments": [ "2012-277" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "T Bank, National Association", "CharterNumber": "24467", "Company": "", "Individual": "", "Location": "Dallas, TX", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "07/09/2008", "StartDocuments": [ "2008-070" ], "TerminationDate": "04/15/2010", "TerminationDocuments": [ "2010-068" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "T Bank, National Association", "CharterNumber": "24467", "Company": "", "Individual": "Patrick Adams", "Location": "Dallas, TX", "TypeCode": "Notice", "TypeDescription": "Notice of Charges", "Amount": "0.00", "StartDate": "01/05/2012", "StartDocuments": [ "N12-001" ], "TerminationDate": "09/30/2014", "TerminationDocuments": [ "2014-126" ], "DocketNumber": "AA-EC-11-50", "SubjectMatters": [ "Breach of Fiduciary Duty", "Enterprise Governance / Internal Controls / General Risk Management", "Insider Issues", "Payment Processing/Payment Systems", "Theft/Misappropriation of Customer Info", "Unauthorized Disclosure of OCC Information" ] }, { "Institution": "T Bank, National Association", "CharterNumber": "24467", "Company": "", "Individual": "Patrick Adams", "Location": "Dallas, TX", "TypeCode": "Notice", "TypeDescription": "Notice of Charges", "Amount": "0.00", "StartDate": "09/26/2011", "StartDocuments": [ "N11-004" ], "TerminationDate": "09/30/2014", "TerminationDocuments": [ "2014-126" ], "DocketNumber": "AA-EC-11-50", "SubjectMatters": [] }, { "Institution": "T Bank, National Association", "CharterNumber": "24467", "Company": "", "Individual": "Lee Ann Stamm", "Location": "Dallas, TX", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "06/20/2011", "StartDocuments": [ "2011-096" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-11-51", "SubjectMatters": [] }, { "Institution": "T Bank, National Association", "CharterNumber": "24467", "Company": "", "Individual": "Lee Ann Stamm", "Location": "Dallas, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "15000.00", "StartDate": "06/20/2011", "StartDocuments": [ "2011-096" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-11-51", "SubjectMatters": [] }, { "Institution": "Taft National Bank", "CharterNumber": "17577", "Company": "", "Individual": "", "Location": "Taft, CA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "03/21/2001", "StartDocuments": [ "2001-25" ], "TerminationDate": "06/14/2004", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Tascosa National Bank Of Amarillo", "CharterNumber": "15252", "Company": "", "Individual": "Jay W. Alexander", "Location": "Amarillo, TX", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "03/11/1994", "StartDocuments": [ "94-39" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-93-100", "SubjectMatters": [] }, { "Institution": "Tascosa National Bank Of Amarillo", "CharterNumber": "15252", "Company": "", "Individual": "Jay W. Alexander", "Location": "Amarillo, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "15000.00", "StartDate": "03/11/1994", "StartDocuments": [ "94-39" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-93-101", "SubjectMatters": [] }, { "Institution": "Tascosa National Bank Of Amarillo", "CharterNumber": "15252", "Company": "", "Individual": "James J. Atkins", "Location": "Amarillo, TX", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "03/11/1994", "StartDocuments": [ "94-40" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-93-101", "SubjectMatters": [] }, { "Institution": "Tascosa National Bank Of Amarillo", "CharterNumber": "15252", "Company": "", "Individual": "James J. Atkins", "Location": "Amarillo, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1000.00", "StartDate": "03/11/1994", "StartDocuments": [ "94-40" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-93-100", "SubjectMatters": [] }, { "Institution": "Tascosa National Bank Of Amarillo", "CharterNumber": "15252", "Company": "", "Individual": "Joe Howell", "Location": "Amarillo, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3000.00", "StartDate": "03/11/1994", "StartDocuments": [ "94-41" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-93-100", "SubjectMatters": [] }, { "Institution": "Tascosa National Bank Of Amarillo", "CharterNumber": "15252", "Company": "", "Individual": "Stanley Mandel", "Location": "Amarillo, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2500.00", "StartDate": "03/11/1994", "StartDocuments": [ "94-42" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-93-100", "SubjectMatters": [] }, { "Institution": "Tascosa National Bank Of Amarillo", "CharterNumber": "15252", "Company": "", "Individual": "J.R. Taylor", "Location": "Amarillo, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3000.00", "StartDate": "03/11/1994", "StartDocuments": [ "94-43" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-93-100", "SubjectMatters": [] }, { "Institution": "TCF National Bank", "CharterNumber": "23253", "Company": "", "Individual": "", "Location": "Sioux Falls, SD", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "07/20/2018", "StartDocuments": [ "2018-063" ], "TerminationDate": "12/18/2019", "TerminationDocuments": [ "2020-009" ], "DocketNumber": "AA-EC-2018-38", "SubjectMatters": [ "Consumer Law", "Lending Issues", "Overdrafts", "Unfair or Deceptive (UDAP)" ] }, { "Institution": "TCF National Bank", "CharterNumber": "23253", "Company": "", "Individual": "", "Location": "Sioux Falls, SD", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3000000.00", "StartDate": "07/20/2018", "StartDocuments": [ "2018-064" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2018-39", "SubjectMatters": [ "Consumer Law", "Lending Issues", "Overdrafts", "Unfair or Deceptive (UDAP)" ] }, { "Institution": "TCF National Bank", "CharterNumber": "23253", "Company": "", "Individual": "", "Location": "Sioux Falls, SD", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "25000000.00", "StartDate": "07/20/2018", "StartDocuments": [ "2018-063" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2018-38", "SubjectMatters": [ "Consumer Law", "Lending Issues", "Overdrafts", "Unfair or Deceptive (UDAP)" ] }, { "Institution": "TCF National Bank", "CharterNumber": "23253", "Company": "", "Individual": "", "Location": "Sioux Falls, SD", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "56500.00", "StartDate": "04/28/2016", "StartDocuments": [ "2016-049" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-CE-2016-29", "SubjectMatters": [ "Consumer Law", "Flood Insurance" ] }, { "Institution": "TCF National Bank", "CharterNumber": "23253", "Company": "", "Individual": "", "Location": "Sioux Falls, SD", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000000.00", "StartDate": "01/25/2013", "StartDocuments": [ "2013-003" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2012-155", "SubjectMatters": [ "BSA SAR Violation / 12 CFR 21.11 or 163.180", "BSA Violation Cited", "BSA/AML", "SAR/CTR Monitoring/Filing Issue" ] }, { "Institution": "TCF National Bank", "CharterNumber": "23253", "Company": "", "Individual": "", "Location": "Sioux Falls, SD", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "07/20/2010", "StartDocuments": [ "2010-164" ], "TerminationDate": "11/26/2013", "TerminationDocuments": [ "2013-208" ], "DocketNumber": "AA-CE-10-71", "SubjectMatters": [] }, { "Institution": "TD Bank USA, National Association", "CharterNumber": "22611", "Company": "", "Individual": "", "Location": "Wilmington, DE", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "10/09/2024", "StartDocuments": [ "AA-ENF-2024-77" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2024-77", "SubjectMatters": [ "BSA Independent Testing/Audit", "BSA Internal Controls", "BSA Officer", "BSA Program Violation / 12 CFR 21.21", "BSA Risk Assessment", "BSA SAR Violation / 12 CFR 21.11 or 163.180", "BSA Training", "BSA Violation Cited", "BSA/AML", "Customer/Enhanced Due Diligence (CDD/EDD)", "SAR/CTR Monitoring/Filing Issue" ] }, { "Institution": "TD Bank USA, National Association", "CharterNumber": "22611", "Company": "", "Individual": "", "Location": "Wilmington, DE", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "450000000.00", "StartDate": "10/09/2024", "StartDocuments": [ "AA-ENF-2024-78" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-ENF-2024-78", "SubjectMatters": [ "BSA Independent Testing/Audit", "BSA Internal Controls", "BSA Officer", "BSA Program Violation / 12 CFR 21.21", "BSA Risk Assessment", "BSA SAR Violation / 12 CFR 21.11 or 163.180", "BSA Training", "BSA Violation Cited", "BSA/AML", "Customer/Enhanced Due Diligence (CDD/EDD)", "SAR/CTR Monitoring/Filing Issue" ] }, { "Institution": "TD Bank USA, National Association", "CharterNumber": "22611", "Company": "", "Individual": "Mouaaz Elkhebri", "Location": "Wilmington, DE", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "11/15/2023", "StartDocuments": [ "AA-ENF-2023-51" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2023-51", "SubjectMatters": [ "BSA Violation Cited", "BSA/AML", "Violation Cited (Criminal Statute)" ] }, { "Institution": "TD Bank, National Association", "CharterNumber": "24096", "Company": "", "Individual": "", "Location": "Wilmington, DE", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "10/09/2024", "StartDocuments": [ "AA-ENF-2024-77" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2024-77", "SubjectMatters": [ "BSA Independent Testing/Audit", "BSA Internal Controls", "BSA Officer", "BSA Program Violation / 12 CFR 21.21", "BSA Risk Assessment", "BSA SAR Violation / 12 CFR 21.11 or 163.180", "BSA Training", "BSA Violation Cited", "BSA/AML", "Customer/Enhanced Due Diligence (CDD/EDD)", "SAR/CTR Monitoring/Filing Issue" ] }, { "Institution": "TD Bank, National Association", "CharterNumber": "24096", "Company": "", "Individual": "", "Location": "Wilmington, DE", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "450000000.00", "StartDate": "10/09/2024", "StartDocuments": [ "AA-ENF-2024-78" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-ENF-2024-78", "SubjectMatters": [ "BSA Independent Testing/Audit", "BSA Internal Controls", "BSA Officer", "BSA Program Violation / 12 CFR 21.21", "BSA Risk Assessment", "BSA SAR Violation / 12 CFR 21.11 or 163.180", "BSA Training", "BSA Violation Cited", "BSA/AML", "Customer/Enhanced Due Diligence (CDD/EDD)", "SAR/CTR Monitoring/Filing Issue" ] }, { "Institution": "TD Bank, National Association", "CharterNumber": "24096", "Company": "", "Individual": "", "Location": "Wilmington, DE", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "37500000.00", "StartDate": "09/20/2013", "StartDocuments": [ "2013-142" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2013-67", "SubjectMatters": [ "BSA SAR Violation / 12 CFR 21.11 or 163.180", "BSA Violation Cited", "BSA/AML", "SAR/CTR Monitoring/Filing Issue" ] }, { "Institution": "TD Bank, National Association", "CharterNumber": "24096", "Company": "", "Individual": "Abiola Afolabi", "Location": "Wilmington, DE", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "10/02/2009", "StartDocuments": [ "2009-180" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-09-63", "SubjectMatters": [] }, { "Institution": "TD Bank, National Association", "CharterNumber": "24096", "Company": "", "Individual": "Jeffrey Burnham", "Location": "Wilmington, DE", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "05/18/2015", "StartDocuments": [ "2015-052" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2014-106", "SubjectMatters": [ "Breach of Fiduciary Duty", "Expense Abuse", "Fraud/Forgery", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "TD Bank, National Association", "CharterNumber": "24096", "Company": "", "Individual": "Justin Cooper", "Location": "Wilmington, DE", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "12/12/2024", "StartDocuments": [ "AA-ENF-2024-87" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2024-87", "SubjectMatters": [ "Insider Issues", "Theft/Misappropriation of Customer Info" ] }, { "Institution": "TD Bank, National Association", "CharterNumber": "24096", "Company": "", "Individual": "Armando De Leon", "Location": "Wilmington, DE", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "08/25/2025", "StartDocuments": [ "AA-EC-2024-35" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2024-35", "SubjectMatters": [ "Fraud/Forgery", "Insider Issues", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "TD Bank, National Association", "CharterNumber": "24096", "Company": "", "Individual": "Armando De Leon", "Location": "Wilmington, DE", "TypeCode": "Notice", "TypeDescription": "Notice of Charges", "Amount": "0.00", "StartDate": "11/21/2024", "StartDocuments": [ "AA-ENF-2024-35N" ], "TerminationDate": "08/25/2025", "TerminationDocuments": [ "AA-EC-2024-35" ], "DocketNumber": "AA-ENF-2024-35", "SubjectMatters": [ "Fraud/Forgery", "Insider Issues", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "TD Bank, National Association", "CharterNumber": "24096", "Company": "", "Individual": "Billy Gedeon", "Location": "Wilmington, DE", "TypeCode": "1829", 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"TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "01/05/2009", "StartDocuments": [ "2009-004" ], "TerminationDate": "07/21/2010", "TerminationDocuments": [ "2010-161" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Baraboo National Bank", "CharterNumber": "14397", "Company": "", "Individual": "", "Location": "Baraboo, WI", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "01/09/2013", "StartDocuments": [ "2013-004" ], "TerminationDate": "11/30/2016", "TerminationDocuments": [ "2016-119" ], "DocketNumber": "AA-EC-13-3", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Appraisals", "Asset Quality", "Board / Management Oversight", "Capital", "Credit/Collateral Exceptions", "Earnings", "Lending Issues", "Loan Review", "Noncompliance with Enforcement Action", "OREO", "Problem Loan Identification", "Sensitivity to Market Risk", "Strategic Planning" ] }, { "Institution": "The Baraboo National Bank", "CharterNumber": "14397", "Company": "", "Individual": "David Havel", "Location": "Baraboo, WI", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "04/25/2011", "StartDocuments": [ "2011-071" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-11-45", "SubjectMatters": [] }, { "Institution": "The Baraboo National Bank", "CharterNumber": "14397", "Company": "", "Individual": "Bradley J. Jenks", "Location": "Baraboo, WI", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "06/06/2012", "StartDocuments": [ "2012-143" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-11-71", "SubjectMatters": [ "Breach of Fiduciary Duty", "Credit/Collateral Exceptions", "Fraud/Forgery", "Insider Issues", "Lending Issues", "Other Lending Deficiencies", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "The Baraboo National Bank", "CharterNumber": "14397", "Company": "", "Individual": "Bradley J. Jenks", "Location": "Baraboo, WI", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "37000.00", "StartDate": "06/06/2012", "StartDocuments": [ "2012-143" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-11-71", "SubjectMatters": [ "Breach of Fiduciary Duty", "Credit/Collateral Exceptions", "Fraud/Forgery", "Insider Issues", "Lending Issues", "Other Lending Deficiencies", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "The Beatrice National Bank and Trust Company", "CharterNumber": "3081", "Company": "", "Individual": "William Cook", "Location": "Beatrice, NE", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "05/20/2004", "StartDocuments": [ "2004-47" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Beatrice National Bank and Trust Company", "CharterNumber": "3081", "Company": "", "Individual": "William Cook", "Location": "Beatrice, NE", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "15000.00", "StartDate": "05/20/2004", "StartDocuments": [ "2004-47" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Beatrice National Bank and Trust Company", "CharterNumber": "3081", "Company": "", "Individual": "Jeffrey Workman", "Location": "Beatrice, NE", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "05/07/2004", "StartDocuments": [ "2004-48" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Beatrice National Bank and Trust Company", "CharterNumber": "3081", "Company": "", "Individual": "Jeffrey Workman", "Location": "Beatrice, NE", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2500.00", "StartDate": "05/07/2004", "StartDocuments": [ "2004-48" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-04-52", "SubjectMatters": [] }, { "Institution": "The Berthoud National Bank", "CharterNumber": "7995", "Company": "", "Individual": "Louis Bein", "Location": "Berthoud, CO", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2000.00", "StartDate": "09/13/1990", "StartDocuments": [ "123" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Blanco National Bank", "CharterNumber": "8134", "Company": "", "Individual": "", "Location": "Blanco, TX", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "06/27/1991", "StartDocuments": [ "298" ], "TerminationDate": "10/04/1993", "TerminationDocuments": [ "93-258" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Blanco National Bank", "CharterNumber": "8134", "Company": "", "Individual": "Aaron Posey", "Location": "Blanco, TX", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "06/27/1991", "StartDocuments": [ "299" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Blanco National Bank", "CharterNumber": "8134", "Company": "", "Individual": "John B. Stevenson", "Location": "Blanco, TX", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "12/12/1991", "StartDocuments": [ "423" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Blanco National Bank", "CharterNumber": "8134", "Company": "", "Individual": "", "Location": "Blanco, TX", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "09/18/2006", "StartDocuments": [ "2006-130" ], "TerminationDate": "08/04/2008", "TerminationDocuments": [ "2008-106" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Boatmen's National Bank Of St. Louis", "CharterNumber": "13236", "Company": "", "Individual": "", "Location": "St. Louis, MO", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "25000.00", "StartDate": "01/17/1992", "StartDocuments": [ "990" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-SCP-92-04", "SubjectMatters": [] }, { "Institution": "The Boatmen's National Bank Of St. Louis", "CharterNumber": "13236", "Company": "", "Individual": "", "Location": "St. Louis, MO", "TypeCode": "SEC", "TypeDescription": "Securities Enforcement Action", "Amount": "0.00", "StartDate": "01/17/1992", "StartDocuments": [ "990" ], "TerminationDate": "03/31/1997", "TerminationDocuments": [], "DocketNumber": "AA-SCP-92-04", "SubjectMatters": [] }, { "Institution": "The Boatmen's National Bank Of St. Louis", "CharterNumber": "17304", "Company": "", "Individual": "", "Location": "St. Louis, MO", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "25000.00", "StartDate": "01/17/1992", "StartDocuments": [ "990" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-SCP-92-04", "SubjectMatters": [] }, { "Institution": "The Boatmen's National Bank Of St. Louis", "CharterNumber": "17304", "Company": "", "Individual": "", "Location": "St. Louis, MO", "TypeCode": "SEC", "TypeDescription": "Securities Enforcement Action", "Amount": "0.00", "StartDate": "01/17/1992", "StartDocuments": [ "990" ], "TerminationDate": "09/08/1995", "TerminationDocuments": [], "DocketNumber": "AA-SCP-92-04", "SubjectMatters": [] }, { "Institution": "The Bradford National Bank", "CharterNumber": "7267", "Company": "", "Individual": "", "Location": "Bradford, VT", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "10/31/1991", "StartDocuments": [ "393" ], "TerminationDate": "07/01/1992", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Bradford National Bank", "CharterNumber": "7267", "Company": "", "Individual": "", "Location": "Bradford, VT", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "02/28/1991", "StartDocuments": [ "172" ], "TerminationDate": "10/28/1991", "TerminationDocuments": [ "393" ], "DocketNumber": "AA-EC-91-27", "SubjectMatters": [] }, { "Institution": "The Bradford National Bank of Greenville", "CharterNumber": "9734", "Company": "", "Individual": "Catherine Eyman", "Location": "Greenville, IL", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "05/06/2021", "StartDocuments": [ "2021-024" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-CE-2021-14", "SubjectMatters": [ "Breach of Fiduciary Duty", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "The Caledonia National Bank of Danville", "CharterNumber": "1576", "Company": "", "Individual": "", "Location": "Danville, VT", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "11/01/1991", "StartDocuments": [ "394" ], "TerminationDate": "07/01/1992", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Caledonia National Bank Of Danville", "CharterNumber": "1576", "Company": "", "Individual": "", "Location": "Danville, VT", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "02/26/1991", "StartDocuments": [ "173" ], "TerminationDate": "10/28/1991", "TerminationDocuments": [ "394" ], "DocketNumber": "AA-EC-91-28", "SubjectMatters": [] }, { "Institution": "The Camden National Bank", "CharterNumber": "8217", "Company": "", "Individual": "", "Location": "Camden, AL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "09/09/2010", "StartDocuments": [ "2010-189" ], "TerminationDate": "08/14/2013", "TerminationDocuments": [ "2013-106" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Canaan National Bank", "CharterNumber": "8511", "Company": "", "Individual": "", "Location": "Canaan, CT", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "03/19/1991", "StartDocuments": [ "195" ], "TerminationDate": "01/12/1994", "TerminationDocuments": [ "94-9" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Carlsbad National Bank", "CharterNumber": "12569", "Company": "", "Individual": "Ronald R. Firestone", "Location": "Carlsbad, NM", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "11/06/2001", "StartDocuments": [ "2001-99" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Carlsbad National Bank", "CharterNumber": "12569", "Company": "", "Individual": "Ronald R. Firestone", "Location": "Carlsbad, NM", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2500.00", "StartDate": "11/06/2001", "StartDocuments": [ "2001-99" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Casey National Bank", "CharterNumber": "8043", "Company": "", "Individual": "", "Location": "Casey, IL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "03/31/1993", "StartDocuments": [ "93-73" ], "TerminationDate": "01/19/1996", "TerminationDocuments": [ "96-93" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Casey National Bank", "CharterNumber": "8043", "Company": "", "Individual": "Donald C. Elliott", "Location": "Casey, IL", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "07/22/1994", "StartDocuments": [ "94-132" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Casey National Bank", "CharterNumber": "8043", "Company": "", "Individual": "Laura Grotenhuis Gard", "Location": "Casey, IL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "07/27/1995", "StartDocuments": [ "95-102" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-94-37 & 38", "SubjectMatters": [] }, { "Institution": "The Casey National Bank", "CharterNumber": "8043", "Company": "", "Individual": "Laura Grotenhuis Gard", "Location": "Casey, IL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000.00", "StartDate": "07/27/1995", "StartDocuments": [ "95-49" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-94-37 & 38", "SubjectMatters": [] }, { "Institution": "The Casey National Bank", "CharterNumber": "8043", "Company": "", "Individual": "Stanton W. Grotenhuis", "Location": "Casey, IL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "40000.00", "StartDate": "07/27/1995", "StartDocuments": [ "95-50" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-94-37 & 38", "SubjectMatters": [] }, { "Institution": "The Casey National Bank", "CharterNumber": "8043", "Company": "", "Individual": "Stanton W. Grotenhuis", "Location": "Casey, IL", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "06/29/1995", "StartDocuments": [ "95-50" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-94-37 & 38", "SubjectMatters": [] }, { "Institution": "The Central National Bank of Alva", "CharterNumber": "12152", "Company": "", "Individual": "", "Location": "Alva, OK", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "06/09/2010", "StartDocuments": [ "2010-145" ], "TerminationDate": "03/15/2012", "TerminationDocuments": [ "2012-086" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Chase Manhattan Bank, N.A.", "CharterNumber": "2370", "Company": "", "Individual": "", "Location": "New York, NY", "TypeCode": "SEC", "TypeDescription": "Securities Enforcement Action", "Amount": "0.00", "StartDate": "10/05/1994", "StartDocuments": [ "94-158" ], "TerminationDate": "07/15/1996", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Citizens National Bank", "CharterNumber": "12594", "Company": "", "Individual": "", "Location": "Putnam, CT", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "06/09/2009", "StartDocuments": [ "2009-084" ], "TerminationDate": "08/29/2012", "TerminationDocuments": [ "2012-243" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Citizens National Bank", "CharterNumber": "10789", "Company": "", "Individual": "Andrew Leseberg", "Location": "Greenleaf, KS", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "10/04/2023", "StartDocuments": [ "2023-034" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2023-31", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "The Citizens National Bank", "CharterNumber": "12594", "Company": "", "Individual": "Rebecca L. Radcliffe", "Location": "Putnam, CT", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "09/15/2009", "StartDocuments": [ "2009-159" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-09-57", "SubjectMatters": [] }, { "Institution": "The Citizens National Bank and Trust Company, El Reno, Oklahoma", "CharterNumber": "5985", "Company": "", "Individual": "", "Location": "El Reno, OK", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "07/23/1991", "StartDocuments": [ "331" ], "TerminationDate": "03/31/1993", "TerminationDocuments": [ "93-105" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Citizens National Bank of Bluffton", "CharterNumber": "11573", "Company": "", "Individual": "", "Location": "Bluffton, OH", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "07/12/2000", "StartDocuments": [ "2000-55" ], "TerminationDate": "06/27/2002", "TerminationDocuments": [ "2002-68" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Citizens National Bank Of Hammond", "CharterNumber": "10216", "Company": "", "Individual": "George E. Silver", "Location": "Hammond, NY", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "8000.00", "StartDate": "10/08/1993", "StartDocuments": [ "93-248" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Citizens National Bank of Hammond", "CharterNumber": "10216", "Company": "", "Individual": "Donald Ceresoli", "Location": "Hammond, NY", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "3500.00", "StartDate": "11/11/1993", "StartDocuments": [ "93-281" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Citizens National Bank of Lebanon", "CharterNumber": "3988", "Company": "", "Individual": "Karen Kirkland", "Location": "Lebanon, KY", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "10/05/2017", "StartDocuments": [ "2017-086" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2017-28", "SubjectMatters": [ "Breach of Fiduciary Duty", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "The Citizens National Bank of Lebanon", "CharterNumber": "3988", "Company": "", "Individual": "Karen Kirkland", "Location": "Lebanon, KY", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "10/05/2017", "StartDocuments": [ "2017-086" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2017-28", "SubjectMatters": [ "Breach of Fiduciary Duty", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "The Citizens National Bank of Meridian", "CharterNumber": "7266", "Company": "", "Individual": "Mark B. Jordan", "Location": "Meridian, MS", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "10/26/2017", "StartDocuments": [ "2017-092" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2017-55", "SubjectMatters": [ "Fraud/Forgery", "Insider Issues", "Lending Issues", "Loans to Insiders (incl. Reg O)", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "The Citizens National Bank of Meyersdale", "CharterNumber": "5833", "Company": "", "Individual": "", "Location": "Meyersdale, PA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "07/20/2012", "StartDocuments": [ "2012-170" ], "TerminationDate": "11/25/2014", "TerminationDocuments": [ "2014-169" ], "DocketNumber": "", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Appraisals", "Asset Quality", "Board / Management Oversight", "Capital", "Concentration Risk Management", "Credit/Collateral Exceptions", "Lending Issues", "OREO", "Other Lending Deficiencies", "Problem Loan Identification", "Strategic Planning" ] }, { "Institution": "The Citizens National Bank of Park Rapids", "CharterNumber": "13692", "Company": "", "Individual": "", "Location": "Park Rapids, MN", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "11/24/2009", "StartDocuments": [ "2009-220" ], "TerminationDate": "09/27/2011", "TerminationDocuments": [ "2011-148" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Citizens National Bank of Somerset", "CharterNumber": "11544", "Company": "", "Individual": "", "Location": "Somerset, KY", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "12/13/2007", "StartDocuments": [ "2007-142" ], "TerminationDate": "01/15/2009", "TerminationDocuments": [ "2009-008" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Citizens National Bank Of Tipton", "CharterNumber": "7496", "Company": "", "Individual": "", "Location": "Tipton, IN", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2100.00", "StartDate": "07/13/1990", "StartDocuments": [ "104" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-90-115", "SubjectMatters": [] }, { "Institution": "The City National Bank and Trust Company of Lawton, Oklahoma", "CharterNumber": "5753", "Company": "", "Individual": "Byran Beaver", "Location": "Lawton, OK", "TypeCode": "1829", "TypeDescription": "1829 Prohibition Notification", "Amount": "0.00", "StartDate": "03/07/2024", "StartDocuments": [ "2024-06" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Violation Cited (Criminal Statute)" ] }, { "Institution": "The City National Bank and Trust Company of Lawton, Oklahoma", "CharterNumber": "5753", "Company": "", "Individual": "Lori Christine Woodson", "Location": "Lawton, OK", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "09/03/2019", "StartDocuments": [ "2019-047" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2019-53", "SubjectMatters": [ "Fraud/Forgery", "Insider Issues", "Lending Issues", "Other Lending Deficiencies", "Violation 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Pleasant, IA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "12/16/2002", "StartDocuments": [ "2002-129" ], "TerminationDate": "02/03/2004", "TerminationDocuments": [ "2004-14" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Federal Savings Bank", "CharterNumber": "716195", "Company": "", "Individual": "", "Location": "Chicago, IL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "04/02/2026", "StartDocuments": [ "AA-ENF-2025-63" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2025-63", "SubjectMatters": [] }, { "Institution": "The Federal Savings Bank", "CharterNumber": "716195", "Company": "", "Individual": "", "Location": "Chicago, IL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "10/29/2021", "StartDocuments": [ "2021-045" ], "TerminationDate": "05/20/2026", "TerminationDocuments": [], "DocketNumber": "AA-CE-2021-47", "SubjectMatters": [ "Audit", "BSA Risk Assessment", "BSA/AML", "Compliance Risk Management", "Consumer Law", "Customer/Enhanced Due Diligence (CDD/EDD)", "Enterprise Governance / Internal Controls / General Risk Management", "Fair Lending", "Internal Audit", "SAR/CTR Monitoring/Filing Issue", "TILA/RESPA", "Unfair or Deceptive (UDAP)" ] }, { "Institution": "The Federal Savings Bank", "CharterNumber": "716195", "Company": "", "Individual": "", "Location": "Chicago, IL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "193105.50", "StartDate": "01/08/2021", "StartDocuments": [ "2021-004" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [ "Consumer Law", "Flood Insurance" ] }, { "Institution": "The Federal Savings Bank", "CharterNumber": "716195", "Company": "", "Individual": "", "Location": "Overland Park, KS", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "03/03/2011", "StartDocuments": [ "WM 11-006" ], "TerminationDate": "06/22/2012", "TerminationDocuments": [ "2012-148" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Federal Savings Bank", "CharterNumber": "716195", "Company": "", "Individual": "Stephen M. Calk", "Location": "Chicago, IL", "TypeCode": "Suspension", "TypeDescription": "Suspension Order for Criminal Conduct", "Amount": "0.00", "StartDate": "05/24/2019", "StartDocuments": [ "N19-004" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2019-28", "SubjectMatters": [ "Insider Issues", "Lending Issues", "Other Lending Deficiencies", "Violation Cited (Criminal Statute)" ] }, { "Institution": "The Fifth Third Bank of Northwestern Ohio, National Association", "CharterNumber": "36", "Company": "", "Individual": "Darren A. 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Smith", "Location": "Mulberry Grove, IL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "15000.00", "StartDate": "07/07/2008", "StartDocuments": [ "2008-079" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-CE-08-41", "SubjectMatters": [] }, { "Institution": "The First National Bank & Trust Company of Beatrice", "CharterNumber": "2357", "Company": "", "Individual": "", "Location": "Beatrice, NE", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "04/12/2002", "StartDocuments": [ "2002-37" ], "TerminationDate": "09/06/2008", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank - Fox Valley", "CharterNumber": "3724", "Company": "", "Individual": "", "Location": "Neenah, WI", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "12/14/2006", "StartDocuments": [ "2006-175" ], "TerminationDate": "12/02/2008", "TerminationDocuments": [ "2008-172" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank - Fox Valley", "CharterNumber": "3724", "Company": "", "Individual": "", "Location": "Neenah, WI", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "12/14/2006", "StartDocuments": [ "2006-176" ], "TerminationDate": "06/30/2008", "TerminationDocuments": [ "2008-090" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank and Trust", "CharterNumber": "8259", "Company": "", "Individual": "", "Location": "Wibaux, MT", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "10/31/1991", "StartDocuments": [ "413" ], "TerminationDate": "11/30/1995", "TerminationDocuments": [ "95-96" ], "DocketNumber": "AA-EC-88-16", "SubjectMatters": [] }, { "Institution": "The First National Bank and Trust", "CharterNumber": "3982", "Company": "", "Individual": "Michael R. Morgan", "Location": "Pipestone, MN", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "04/05/2001", "StartDocuments": [ "2001-28" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2000-18", "SubjectMatters": [] }, { "Institution": "The First National Bank and Trust", "CharterNumber": "8259", "Company": "", "Individual": "Edward Towe", "Location": "Wibaux, MT", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "08/18/1997", "StartDocuments": [ "97-115" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-93-42", "SubjectMatters": [] }, { "Institution": "The First National Bank and Trust", "CharterNumber": "8259", "Company": "", "Individual": "Edward Towe", "Location": "Wibaux, MT", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000.00", "StartDate": "07/25/1997", "StartDocuments": [ "97-116" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-93-43", "SubjectMatters": [] }, { "Institution": "The First National Bank and Trust", "CharterNumber": "8259", "Company": "", "Individual": "Thomas Towe", "Location": "Wibaux, MT", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "25000.00", "StartDate": "07/25/1997", "StartDocuments": [ "97-116" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-93-43", "SubjectMatters": [] }, { "Institution": "The First National Bank and Trust", "CharterNumber": "8259", "Company": "", "Individual": "Thomas E. Towe", "Location": "Wibaux, MT", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "08/18/1997", "StartDocuments": [ "97-115" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-93-42", "SubjectMatters": [] }, { "Institution": "The First National Bank and Trust Company", "CharterNumber": "1831", "Company": "", "Individual": "Danny R. Patton", "Location": "Nicholasville, KY", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "08/19/1993", "StartDocuments": [ "93-348" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank and Trust Company of Broken Arrow", "CharterNumber": "7115", "Company": "", "Individual": "", "Location": "Broken Arrow, OK", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "02/11/2010", "StartDocuments": [ "2010-057" ], "TerminationDate": "05/21/2014", "TerminationDocuments": [ "2014-082" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank And Trust Company Of Junction City, Kansas", "CharterNumber": "3543", "Company": "", "Individual": "", "Location": "Junction City, KS", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "10/26/1994", "StartDocuments": [ "94-178" ], "TerminationDate": "04/22/1998", "TerminationDocuments": [ "98-30" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank and Trust Company of Rochelle", "CharterNumber": "14221", "Company": "", "Individual": "", "Location": "Rochelle, IL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "11/17/2009", "StartDocuments": [ "2009-198" ], "TerminationDate": "11/23/2011", "TerminationDocuments": [ "2011-197" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank and Trust Company of Vinita", "CharterNumber": "4704", "Company": "", "Individual": "", "Location": "Vinita, OK", "TypeCode": "PCAD", "TypeDescription": "Prompt Corrective Action (PCA) Directive", "Amount": "0.00", "StartDate": "01/15/2021", "StartDocuments": [ "2021-005" ], "TerminationDate": "05/21/2021", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2020-82", "SubjectMatters": [ "Prompt Corrective Action" ] }, { "Institution": "The First National Bank and Trust Company of Vinita", "CharterNumber": "4704", "Company": "", "Individual": "", "Location": "Vinita, OK", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "07/16/2020", "StartDocuments": [ "2020-038" ], "TerminationDate": "05/21/2021", "TerminationDocuments": [], "DocketNumber": "AA-EC-2020-43", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Asset Quality", "Audit", "Board / Management Oversight", "Capital", "Compensation", "Concentration Risk Management", "Credit/Collateral Exceptions", "Insider Issues", "Internal Audit", "Lending Issues", "Liquidity", "Loan Review", "Other Lending Deficiencies", "Problem Loan Identification", "Strategic Planning" ] }, { "Institution": "The First National Bank and Trust Company of Vinita", "CharterNumber": "4704", "Company": "", "Individual": "Tony Fritz", "Location": "Vinita, OK", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "08/22/2022", "StartDocuments": [ "2022-030" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2022-34", "SubjectMatters": [ "Breach of Fiduciary Duty", "Lending Issues", "Loan Review", "Nominee Lending", "Other Lending Deficiencies", "Overdrafts" ] }, { "Institution": "The First National Bank and Trust Company of Vinita", "CharterNumber": "4704", "Company": "", "Individual": "Tony Fritz", "Location": "Vinita, OK", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "20000.00", "StartDate": "08/22/2022", "StartDocuments": [ "2022-030" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-ENF-2022-34", "SubjectMatters": [ "Breach of Fiduciary Duty", "Lending Issues", "Loan Review", "Nominee Lending", "Other Lending Deficiencies", "Overdrafts" ] }, { "Institution": "The First National Bank and Trust Company of Vinita", "CharterNumber": "4704", "Company": "", "Individual": "James Ratcliff", "Location": "Vinita, OK", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "08/18/2022", "StartDocuments": [ "2022-032" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2022-32", "SubjectMatters": [ "Breach of Fiduciary Duty", "Compensation", "Insider Issues", "Lending Issues", "Loans to Insiders (incl. Reg O)", "Other Lending Deficiencies", "Third Party Risk Management" ] }, { "Institution": "The First National Bank and Trust Company of Vinita", "CharterNumber": "4704", "Company": "", "Individual": "James Ratcliff", "Location": "Vinita, OK", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "100000.00", "StartDate": "08/18/2022", "StartDocuments": [ "2022-032" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-ENF-2022-32", "SubjectMatters": [ "Breach of Fiduciary Duty", "Compensation", "Insider Issues", "Lending Issues", "Loans to Insiders (incl. Reg O)", "Other Lending Deficiencies", "Third Party Risk Management" ] }, { "Institution": "The First National Bank and Trust Company of Vinita", "CharterNumber": "4704", "Company": "", "Individual": "H. 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Cunningham", "Location": "Hysham, MT", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2000.00", "StartDate": "11/27/1989", "StartDocuments": [ "18" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-89-63", "SubjectMatters": [] }, { "Institution": "The First National Bank In Hysham", "CharterNumber": "12585", "Company": "", "Individual": "H. Richard Hansen", "Location": "Hysham, MT", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "6000.00", "StartDate": "02/18/1992", "StartDocuments": [ "483" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank In Hysham", "CharterNumber": "12585", "Company": "", "Individual": "H.R. 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Barnett", "Location": "Levelland, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000.00", "StartDate": "12/20/1990", "StartDocuments": [ "169" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank of Lindsay", "CharterNumber": "6171", "Company": "", "Individual": "", "Location": "Lindsay, OK", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "07/19/2007", "StartDocuments": [ "2007-080" ], "TerminationDate": "02/19/2009", "TerminationDocuments": [ "2009-032" ], "DocketNumber": "AA-EC-07-13", "SubjectMatters": [] }, { "Institution": "The First National Bank of Lindsay", "CharterNumber": "6171", "Company": "", "Individual": "", "Location": "Lindsay, OK", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "07/25/2006", "StartDocuments": [ "2006-91" ], "TerminationDate": "07/19/2007", "TerminationDocuments": [ "2007-080" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank of Lindsay", "CharterNumber": "6171", "Company": "", "Individual": "E. Ray Murray", "Location": "Lindsay, OK", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "04/10/2007", "StartDocuments": [ "2007-045" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-07-12", "SubjectMatters": [] }, { "Institution": "The First National Bank of Litchfield", "CharterNumber": "709", "Company": "", "Individual": "", "Location": "Litchfield, CT", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "11/09/2009", "StartDocuments": [ "2009-219" ], "TerminationDate": "04/07/2010", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank of Littlefield", "CharterNumber": "12824", "Company": "", "Individual": "", "Location": "Littlefield, TX", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "01/29/2003", "StartDocuments": [ "2003-15" ], "TerminationDate": "07/08/2003", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank of Littlefield", "CharterNumber": "12824", "Company": "", "Individual": "", "Location": "Littlefield, TX", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "12/19/2001", "StartDocuments": [ "2001-108" ], "TerminationDate": "07/08/2003", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank of Littlefield", "CharterNumber": "12824", "Company": "", "Individual": "", "Location": "Littlefield, TX", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "12/14/1998", "StartDocuments": [ "98-73" ], "TerminationDate": "07/08/2003", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank of Littlefield", "CharterNumber": "12824", "Company": "", "Individual": "James T. Lee", "Location": "Littlefield, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "05/27/2003", "StartDocuments": [ "2003-63" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank of Littlefield", "CharterNumber": "12824", "Company": "", "Individual": "James T. Lee", "Location": "Littlefield, TX", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "01/29/2003", "StartDocuments": [ "2003-15" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank of Littlefield", "CharterNumber": "12824", "Company": "", "Individual": "Jay H Lee", "Location": "Littlefield, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2500.00", "StartDate": "05/27/2003", "StartDocuments": [ "2003-64" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank Of Logan", "CharterNumber": "6771", "Company": "", "Individual": "", "Location": "Logan, IA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "07/07/1992", "StartDocuments": [ "673" ], "TerminationDate": "09/13/1993", "TerminationDocuments": [ "93-252" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank Of Logan", "CharterNumber": "6771", "Company": "", "Individual": "Mark Leonard", "Location": "Logan, IA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "09/02/1999", "StartDocuments": [ "99-68" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-99-14", "SubjectMatters": [] }, { "Institution": "The First National Bank Of Logan", "CharterNumber": "6771", "Company": "", "Individual": "Mark Leonard", "Location": "Logan, IA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "15000.00", "StartDate": "09/02/1999", "StartDocuments": [ "99-68" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank of Logan", "CharterNumber": "6771", "Company": "", "Individual": "", "Location": "Logan, IA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "03/25/2009", "StartDocuments": [ "2009-034" ], "TerminationDate": "05/21/2010", "TerminationDocuments": [ "2010-149" ], "DocketNumber": "AA-WE-09-06", "SubjectMatters": [] }, { "Institution": "The First National Bank of Logan", "CharterNumber": "6771", "Company": "", "Individual": "", "Location": "Logan, IA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "07/02/2008", "StartDocuments": [ "2008-069" ], "TerminationDate": "03/25/2009", "TerminationDocuments": [ "2009-034" ], "DocketNumber": "AA-WE-08-45", "SubjectMatters": [] }, { "Institution": "The First National Bank of Logan", "CharterNumber": "6771", "Company": "", "Individual": "", "Location": "Logan, IA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "04/28/1998", "StartDocuments": [ "98-23" ], "TerminationDate": "04/12/2000", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank of Logan", "CharterNumber": "6771", "Company": "", "Individual": "Christopher R. Hartwig", "Location": "Logan, IA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "05/17/2010", "StartDocuments": [ "2010-110" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-10-31", "SubjectMatters": [] }, { "Institution": "The First National Bank of Logan", "CharterNumber": "6771", "Company": "", "Individual": "John Lapke", "Location": "Logan, IA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "05/17/2010", "StartDocuments": [ "2010-111" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-10-29", "SubjectMatters": [] }, { "Institution": "The First National Bank of Logan", "CharterNumber": "6771", "Company": "", "Individual": "John Lapke", "Location": "Logan, IA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "25000.00", "StartDate": "05/17/2010", "StartDocuments": [ "2010-111" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-10-29", "SubjectMatters": [] }, { "Institution": "The First National Bank of Logan", "CharterNumber": "6771", "Company": "", "Individual": "Timothy J. Lapke", "Location": "Logan, IA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "05/17/2010", "StartDocuments": [ "2010-112" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-10-30", "SubjectMatters": [] }, { "Institution": "The First National Bank of Logan", "CharterNumber": "6771", "Company": "", "Individual": "Timothy J. Lapke", "Location": "Logan, IA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "20000.00", "StartDate": "05/17/2010", "StartDocuments": [ "2010-112" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-10-30", "SubjectMatters": [] }, { "Institution": "The First National Bank of Manchester", "CharterNumber": "7605", "Company": "", "Individual": "", "Location": "Manchester, KY", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "06/25/2012", "StartDocuments": [ "2012-127" ], "TerminationDate": "08/22/2013", "TerminationDocuments": [ "2013-135" ], "DocketNumber": "AA-CE-12-54", "SubjectMatters": [ "Affiliate Transactions (incl. Reg W)", "Appraisals", "Audit", "Board / Management Oversight", "Compensation", "Enterprise Governance / Internal Controls / General Risk Management", "Expense Abuse", "Insider Issues", "Internal Audit", "Lending Issues" ] }, { "Institution": "The First National Bank of Manchester", "CharterNumber": "7605", "Company": "", "Individual": "", "Location": "Manchester, KY", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "05/28/2008", "StartDocuments": [ "2008-060" ], "TerminationDate": "03/18/2009", "TerminationDocuments": [ "2009-078" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank of Manchester", "CharterNumber": "7605", "Company": "", "Individual": "Jerry Greer", "Location": "Manchester, KY", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000.00", "StartDate": "06/17/2014", "StartDocuments": [ "2014-089" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-14-27", "SubjectMatters": [ "Affiliate Transactions (incl. Reg W)", "Breach of Fiduciary Duty", "Expense Abuse", "Insider Issues", "Lending Issues", "Loans to Insiders (incl. Reg O)", "Overdrafts" ] }, { "Institution": "The First National Bank of Manchester", "CharterNumber": "7605", "Company": "", "Individual": "Lanny Greer", "Location": "Manchester, KY", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "06/17/2014", "StartDocuments": [ "2014-090" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Breach of Fiduciary Duty", "Expense Abuse", "Insider Issues", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "The First National Bank of Manchester", "CharterNumber": "7605", "Company": "", "Individual": "Lanny Greer", "Location": "Manchester, KY", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "06/17/2014", "StartDocuments": [ "2014-090" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-14-25", "SubjectMatters": [ "Breach of Fiduciary Duty", "Expense Abuse", "Insider Issues", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "The First National Bank of Manchester", "CharterNumber": "7605", "Company": "", "Individual": "Lanny Greer", "Location": "Manchester, KY", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "40000.00", "StartDate": "06/17/2014", "StartDocuments": [ "2014-090" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-14-25", "SubjectMatters": [ "Breach of Fiduciary Duty", "Expense Abuse", "Insider Issues", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "The First National Bank of Manchester", "CharterNumber": "7605", "Company": "", "Individual": "Lanny Greer", "Location": "Manchester, KY", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "18789.00", "StartDate": "06/17/2014", "StartDocuments": [ "2014-090" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-14-25", "SubjectMatters": [ "Breach of Fiduciary Duty", "Expense Abuse", "Insider Issues", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "The First National Bank of Manchester", "CharterNumber": "7605", "Company": "", "Individual": "Randell Greer", "Location": "Manchester, KY", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000.00", "StartDate": "06/17/2014", "StartDocuments": [ "2014-091" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-14-29", "SubjectMatters": [ "Breach of Fiduciary Duty", "Expense Abuse", "Insider Issues", "Lending Issues", "Loans to Insiders (incl. Reg O)" ] }, { "Institution": "The First National Bank of Manchester", "CharterNumber": "7605", "Company": "", "Individual": "Rex Greer", "Location": "Manchester, KY", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000.00", "StartDate": "06/17/2014", "StartDocuments": [ "2014-092" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-14-28", "SubjectMatters": [ "Affiliate Transactions (incl. Reg W)", "Breach of Fiduciary Duty", "Expense Abuse", "Insider Issues", "Lending Issues", "Loans to Insiders (incl. Reg O)", "Overdrafts" ] }, { "Institution": "The First National Bank of Manchester", "CharterNumber": "7605", "Company": "", "Individual": "Jon Kristen McCowan", "Location": "Manchester, KY", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "03/20/2015", "StartDocuments": [ "2015-026" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-14-26", "SubjectMatters": [ "Breach of Fiduciary Duty", "Expense Abuse", "Insider Issues", "Lending Issues", "Loans to Insiders (incl. Reg O)", "Overdrafts", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "The First National Bank of Manchester", "CharterNumber": "7605", "Company": "", "Individual": "Jon Kristen McCowan", "Location": "Manchester, KY", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "03/20/2015", "StartDocuments": [ "2015-026" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-14-26", "SubjectMatters": [ "Breach of Fiduciary Duty", "Expense Abuse", "Insider Issues", "Lending Issues", "Loans to Insiders (incl. Reg O)", "Overdrafts", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "The First National Bank of Manchester", "CharterNumber": "7605", "Company": "", "Individual": "Kenneth Smith", "Location": "Manchester, KY", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "06/17/2014", "StartDocuments": [ "2014-093" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-14-30", "SubjectMatters": [ "Appraisals", "Breach of Fiduciary Duty", "Expense Abuse", "Insider Issues", "Lending Issues", "Loans to Insiders (incl. Reg O)", "Overdrafts" ] }, { "Institution": "The First National Bank Of Manning", "CharterNumber": "3455", "Company": "", "Individual": "", "Location": "Manning, IA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "10/21/1991", "StartDocuments": [ "561" ], "TerminationDate": "05/12/1993", "TerminationDocuments": [ "93-196" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank Of Marquette", "CharterNumber": "8400", "Company": "", "Individual": "John D. Ferguson", "Location": "Marquette, NE", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "4000.00", "StartDate": "12/16/1992", "StartDocuments": [ "926" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-MW-92-195", "SubjectMatters": [] }, { "Institution": "The First National Bank of Marquette", "CharterNumber": "8400", "Company": "", "Individual": "", "Location": "Marquette, NE", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "11/20/2003", "StartDocuments": [ "2003-143" ], "TerminationDate": "06/27/2006", "TerminationDocuments": [ "2006-80" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank of Mayfield", "CharterNumber": "2245", "Company": "", "Individual": "", "Location": "Mayfield, KY", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "08/21/2002", "StartDocuments": [ "2002-71" ], "TerminationDate": "09/01/2004", "TerminationDocuments": [ "2004-118" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank Of McClusky", "CharterNumber": "8881", "Company": "", "Individual": "", "Location": "McClusky, ND", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "02/17/1998", "StartDocuments": [ "98-15" ], "TerminationDate": "01/04/2001", "TerminationDocuments": [ "2001-10" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank of McConnelsville", "CharterNumber": "46", "Company": "", "Individual": "", "Location": "McConnelsville, OH", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000.00", "StartDate": "01/03/2012", "StartDocuments": [ "2012-001" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-CE-11-95", "SubjectMatters": [ "Consumer Law", "Flood Insurance" ] }, { "Institution": "The First National Bank of Mercersburg", "CharterNumber": "9330", "Company": "", "Individual": "", "Location": "Mercersburg, PA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "10/27/2010", "StartDocuments": [ "2010-229" ], "TerminationDate": "09/11/2013", "TerminationDocuments": [ "2013-188" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank Of Midland", "CharterNumber": "4368", "Company": "", "Individual": "Charles D. Fraser", "Location": "Midland, TX", "TypeCode": "SEC", "TypeDescription": "Securities Enforcement Action", "Amount": "0.00", "StartDate": "08/30/1994", "StartDocuments": [ "84-1" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank of Milaca", "CharterNumber": "9050", "Company": "", "Individual": "", "Location": "Milaca, MN", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "11/02/2010", "StartDocuments": [ "2010-262" ], "TerminationDate": "07/24/2012", "TerminationDocuments": [ "2012-207" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank of Morgan", "CharterNumber": "6958", "Company": "", "Individual": "", "Location": "Morgan, UT", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "07/15/2005", "StartDocuments": [ "2005-99" ], "TerminationDate": "05/24/2007", "TerminationDocuments": [ "2007-079" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank of Mount Dora", "CharterNumber": "13102", "Company": "", "Individual": "", "Location": "Mount Dora, FL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "09/15/2011", "StartDocuments": [ "2011-134" ], "TerminationDate": "12/18/2013", "TerminationDocuments": [ "2013-222" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank of Mt. Pulaski", "CharterNumber": "3839", "Company": "", "Individual": "", "Location": "Mt. Pulaski, IL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "07/01/1998", "StartDocuments": [ "98-42" ], "TerminationDate": "12/17/2002", "TerminationDocuments": [ "2002-136" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank of Mt. Pulaski", "CharterNumber": "3839", "Company": "", "Individual": "", "Location": "Mt. Pulaski, IL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "12/17/2002", "StartDocuments": [ "2002-133" ], "TerminationDate": "02/14/2007", "TerminationDocuments": [ "2007-021" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank of Mt. Pulaski", "CharterNumber": "3839", "Company": "", "Individual": "Kenneth R. Brooker", "Location": "Mt. Pulaski, IL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1000.00", "StartDate": "11/04/2005", "StartDocuments": [ "2005-153" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank of Mt. Pulaski", "CharterNumber": "3839", "Company": "", "Individual": "Jerry Hollis", "Location": "Mt. Pulaski, IL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2000.00", "StartDate": "06/21/2004", "StartDocuments": [ "2004-80" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-04-58", "SubjectMatters": [] }, { "Institution": "The First National Bank of Mt. Pulaski", "CharterNumber": "3839", "Company": "", "Individual": "Joseph W. Lucas", "Location": "Mt. 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Lloyd", "Location": "Sanger, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1000.00", "StartDate": "10/24/1989", "StartDocuments": [ "25" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-89-13", "SubjectMatters": [] }, { "Institution": "The First National Bank Of Sanger", "CharterNumber": "7886", "Company": "", "Individual": "Richard Muir", "Location": "Sanger, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2500.00", "StartDate": "10/24/1989", "StartDocuments": [ "25" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-89-15", "SubjectMatters": [] }, { "Institution": "The First National Bank Of Sanger", "CharterNumber": "7886", "Company": "", "Individual": "John R. 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Durham", "Location": "Shelby, NC", "TypeCode": "Suspension", "TypeDescription": "Suspension Order for Criminal Conduct", "Amount": "0.00", "StartDate": "05/23/2012", "StartDocuments": [ "2012-142" ], "TerminationDate": "09/15/2014", "TerminationDocuments": [ "2014-125" ], "DocketNumber": "AA-EC-12-51", "SubjectMatters": [ "BSA/AML", "Fraud/Forgery", "Insider Issues", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "The First National Bank of Shiner", "CharterNumber": "5628", "Company": "", "Individual": "", "Location": "Shiner, TX", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "10/21/2024", "StartDocuments": [ "AA-SO-2023-55" ], "TerminationDate": "07/01/2025", "TerminationDocuments": [], "DocketNumber": "AA-SO-2023-55", "SubjectMatters": [ "Affiliate Transactions (incl. 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"3392", "Company": "", "Individual": "", "Location": "Wayne, NE", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "10/16/2008", "StartDocuments": [ "2008-139" ], "TerminationDate": "12/20/2010", "TerminationDocuments": [ "2010-251" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank of Wellston", "CharterNumber": "3565", "Company": "", "Individual": "", "Location": "Wellston, OH", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1155.00", "StartDate": "12/03/2012", "StartDocuments": [ "2012-251" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [ "Consumer Law", "Flood Insurance" ] }, { "Institution": "The First National Bank of Wellston", "CharterNumber": "3565", "Company": "", "Individual": "", "Location": "Wellston, OH", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "06/05/2012", 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"StartDate": "11/12/2024", "StartDocuments": [ "AA-NE-2024-93" ], "TerminationDate": "04/14/2026", "TerminationDocuments": [ "AA-SO-2026-23" ], "DocketNumber": "AA-NE-2024-93", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Audit", "Board / Management Oversight", "Enterprise Governance / Internal Controls / General Risk Management", "Lending Issues", "Loan Review", "Other Lending Deficiencies", "Strategic Planning", "Unsafe or Unsound Practices (Other)" ] }, { "Institution": "The First National Bank of Woodsboro", "CharterNumber": "11379", "Company": "", "Individual": "Jason Jones", "Location": "Woodsboro, TX", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "04/10/2019", "StartDocuments": [ "2019-017" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2019-19", "SubjectMatters": [ "Breach of Fiduciary Duty", "Insider Issues", "Lending Issues", "Other Lending Deficiencies" ] }, { "Institution": "The First National Bank of Wynne", "CharterNumber": "10807", "Company": "", "Individual": "", "Location": "Wynne, AR", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "10/06/2009", "StartDocuments": [ "2009-172" ], "TerminationDate": "12/06/2011", "TerminationDocuments": [ "2011-185" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank of Wyoming", "CharterNumber": "9428", "Company": "", "Individual": "", "Location": "Wyoming, DE", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "03/17/2011", "StartDocuments": [ "2011-064" ], "TerminationDate": "09/05/2014", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Fremont National Bank and Trust Company", "CharterNumber": "2848", "Company": "", "Individual": "", "Location": "Fremont, NE", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "06/11/2003", "StartDocuments": [ "2003-166" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Frost National Bank", "CharterNumber": "5179", "Company": "", "Individual": "Veronica D. Guerra", "Location": "San Antonio, TX", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "09/07/2010", "StartDocuments": [ "2010-197" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-10-70", "SubjectMatters": [] }, { "Institution": "The Frost National Bank", "CharterNumber": "5179", "Company": "Chicago Title Insurance Company", "Individual": "", "Location": "San Antonio, TX", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "02/24/2005", "StartDocuments": [ "2005-12" ], "TerminationDate": "05/10/2011", "TerminationDocuments": [ "2011-093" ], "DocketNumber": "AA-EC-2008-84", "SubjectMatters": [] }, { "Institution": "The Frost National Bank", "CharterNumber": "5179", "Company": "Chicago Title Insurance Company", "Individual": "", "Location": "San Antonio, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000000.00", "StartDate": "02/24/2005", "StartDocuments": [ "2005-12" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2004-84", "SubjectMatters": [] }, { "Institution": "The Fulton County National Bank and Trust Company", "CharterNumber": "13765", "Company": "", "Individual": "", "Location": "McConnellsburg, PA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "03/23/2005", "StartDocuments": [ "2005-29" ], "TerminationDate": "07/01/2006", "TerminationDocuments": [], "DocketNumber": "NE 2005-15", "SubjectMatters": [] }, { "Institution": "The Fulton County National Bank and Trust Company", "CharterNumber": "13765", "Company": "", "Individual": "Clyde H. 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Bookheimer", "Location": "McConnellsburg, PA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000.00", "StartDate": "06/10/2008", "StartDocuments": [ "2008-058" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-08-15", "SubjectMatters": [] }, { "Institution": "The Genoa National Bank", "CharterNumber": "6805", "Company": "", "Individual": "", "Location": "Genoa, NE", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "12/20/2001", "StartDocuments": [ "2001-129" ], "TerminationDate": "05/17/2006", "TerminationDocuments": [ "2006-55" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Georgia National Bank", "CharterNumber": "21529", "Company": "", "Individual": "", "Location": "Athens, GA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "10/19/1992", "StartDocuments": [ "725" ], "TerminationDate": "04/26/1994", "TerminationDocuments": [ "94-69" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Granger National Bank", "CharterNumber": "11642", "Company": "", "Individual": "", "Location": "Granger, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2100.00", "StartDate": "10/10/1991", "StartDocuments": [ "557" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-91-197", "SubjectMatters": [] }, { "Institution": "The Granville National Bank", "CharterNumber": "14035", "Company": "", "Individual": "", "Location": "Granville, IL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "10/10/2007", "StartDocuments": [ "2007-121" ], "TerminationDate": "01/06/2010", "TerminationDocuments": [ "2010-063" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Granville National Bank", "CharterNumber": "14035", "Company": "", "Individual": "Phillip C. Carlson", "Location": "Granville, IL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "7000.00", "StartDate": "07/09/2008", "StartDocuments": [ "2008-073" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-08-19", "SubjectMatters": [] }, { "Institution": "The Granville National Bank", "CharterNumber": "14035", "Company": "", "Individual": "Carolyn M. Helmig", "Location": "Granville, IL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "07/09/2008", "StartDocuments": [ "2008-074" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-08-20", "SubjectMatters": [] }, { "Institution": "The Granville National Bank", "CharterNumber": "14035", "Company": "", "Individual": "Charles W. 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Holly", "Location": "Granville, IL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "07/09/2008", "StartDocuments": [ "2008-076" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-08-22", "SubjectMatters": [] }, { "Institution": "The Granville National Bank", "CharterNumber": "14035", "Company": "", "Individual": "Hubert J. Mennie", "Location": "Granville, IL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "07/09/2008", "StartDocuments": [ "2008-077" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-08-23", "SubjectMatters": [] }, { "Institution": "The Granville National Bank", "CharterNumber": "14035", "Company": "", "Individual": "Daniel J. 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Alexander", "Location": "Little River, KS", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "08/07/1995", "StartDocuments": [ "95-41" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Hondo National Bank", "CharterNumber": "14351", "Company": "", "Individual": "", "Location": "Hondo, TX", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "12/10/1992", "StartDocuments": [ "790" ], "TerminationDate": "02/21/1997", "TerminationDocuments": [ "97-27" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Hondo National Bank", "CharterNumber": "14351", "Company": "", "Individual": "Fred L. Graff", "Location": "Hondo, TX", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "09/10/1991", "StartDocuments": [ "372" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Hondo National Bank", "CharterNumber": "14351", "Company": "", "Individual": "Fred L. Graff", "Location": "Hondo, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3000.00", "StartDate": "09/10/1991", "StartDocuments": [ "372" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Hondo National Bank", "CharterNumber": "14351", "Company": "", "Individual": "Fred J. Yanta", "Location": "Hondo, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2013.00", "StartDate": "09/10/1991", "StartDocuments": [ "372" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Hondo National Bank", "CharterNumber": "14351", "Company": "", "Individual": "", "Location": "Hondo, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "7000.00", "StartDate": "08/18/2014", "StartDocuments": [ "2014-110" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [ "Consumer Law", "Flood Insurance" ] }, { "Institution": "The Huntington National Bank", "CharterNumber": "7745", "Company": "", "Individual": "", "Location": "Columbus, OH", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "02/28/2005", "StartDocuments": [ "2005-15" ], "TerminationDate": "10/06/2005", "TerminationDocuments": [ "2005-150" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Huntington National Bank", "CharterNumber": "7745", "Company": "", "Individual": "Larry Brown, Jr.", "Location": "Columbus, OH", "TypeCode": "1829", "TypeDescription": "1829 Prohibition Notification", "Amount": "0.00", "StartDate": "11/02/2023", "StartDocuments": [ "2023-056" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Violation Cited (Criminal Statute)" ] }, { "Institution": "The Huntington National Bank", "CharterNumber": "7745", "Company": "", "Individual": "Nodia Harris", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "08/19/2019", "StartDocuments": [ "2019-046" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2019-51", "SubjectMatters": [ "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "The Huntington National Bank", "CharterNumber": "7745", "Company": "", "Individual": "Joddi Metcalf", "Location": "Columbus, OH", "TypeCode": "1829", "TypeDescription": "1829 Prohibition Notification", "Amount": "0.00", "StartDate": "01/21/2025", "StartDocuments": [ "2025-01" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Violation Cited (Criminal Statute)" ] }, { "Institution": "The Huntington National Bank", "CharterNumber": "7745", "Company": "", "Individual": "Deborah D. Radcliff", "Location": "Columbus, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "06/26/2014", "StartDocuments": [ "2014-104" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2014-32", "SubjectMatters": [ "Breach of Fiduciary Duty", "BSA Violation Cited", "BSA/AML", "Fraud/Forgery", "Insider Issues", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "The Huntington National Bank of Florida", "CharterNumber": "21058", "Company": "", "Individual": "Michael R. Stillwell", "Location": "Maitland, FL", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "05/12/2003", "StartDocuments": [ "2003-51" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Idabel National Bank", "CharterNumber": "11913", "Company": "", "Individual": "", "Location": "Idabel, OK", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "12/16/2022", "StartDocuments": [ "2022-068" ], "TerminationDate": "11/07/2025", "TerminationDocuments": [ "AA-SO-2025-57" ], "DocketNumber": "AA-SO-2022-55", "SubjectMatters": [ "Appraisals", "Asset Quality", "Audit", "Board / Management Oversight", "Capital", "Concentration Risk Management", "Credit/Collateral Exceptions", "Legal Lending Limit", "Lending Issues", "Liquidity", "Loan Review", "Other Lending Deficiencies", "Problem Loan Identification", "Strategic Planning" ] }, { "Institution": "The Karnes County National Bank of Karnes City", "CharterNumber": "5614", "Company": "", "Individual": "", "Location": "Kansas City, TX", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "02/20/1992", "StartDocuments": [ "478" ], "TerminationDate": "07/14/1993", "TerminationDocuments": [ "93-201" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Karnes County National Bank of Karnes City", "CharterNumber": "5614", "Company": "", "Individual": "", "Location": "Karnes City, TX", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "12/14/2016", "StartDocuments": [ "2016-114" ], "TerminationDate": "10/30/2018", "TerminationDocuments": [ "2018-089" ], "DocketNumber": "", "SubjectMatters": [ "Asset Quality", "Audit", "Board / Management Oversight", "Compliance Risk Management", "Concentration Risk Management", "Consumer Law", "Credit/Collateral Exceptions", "Internal Audit", "Lending Issues", "Loan Review", "Other Lending Deficiencies", "Problem Loan Identification" ] }, { "Institution": "The Kishacoquillas Valley National Bank of Belleville", "CharterNumber": "10128", "Company": "", "Individual": "", "Location": "Belleville, PA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "02/17/2011", "StartDocuments": [ "2011-033" ], "TerminationDate": "01/09/2013", "TerminationDocuments": [ "2013-122" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The LA Coste National Bank", "CharterNumber": "10189", "Company": "", "Individual": "Jody P. Gwyn", "Location": "LA Coste, TX", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "08/15/2011", "StartDocuments": [ "2011-125" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-10-63", "SubjectMatters": [] }, { "Institution": "The Laguna Bank, National Association", "CharterNumber": "17117", "Company": "", "Individual": "", "Location": "Laguna Beach, CA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "03/19/1991", "StartDocuments": [ "211" ], "TerminationDate": "08/07/1992", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Lake Bank, National Association", "CharterNumber": "24048", "Company": "", "Individual": "", "Location": "Two Harbors, MN", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "03/15/2004", "StartDocuments": [ "2004-16" ], "TerminationDate": "09/23/2005", "TerminationDocuments": [ "2005-149" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Lake Bank, National Association", "CharterNumber": "24048", "Company": "", "Individual": "", "Location": "Two Harbors, MN", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "03/20/2003", "StartDocuments": [ "2003-27" ], "TerminationDate": "03/15/2004", "TerminationDocuments": [ "2004-16" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Lake Bank, National Association", "CharterNumber": "24048", "Company": "", "Individual": "", "Location": "Two Harbors, MN", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "06/21/2002", "StartDocuments": [ "2002-60" ], "TerminationDate": "03/20/2003", "TerminationDocuments": [ "2003-27" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Lake Bank, National Association", "CharterNumber": "24048", "Company": "", "Individual": "John Fredrickson", "Location": "Two Harbors, MN", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "12000.00", "StartDate": "08/02/2005", "StartDocuments": [ "2005-107" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-05-46", "SubjectMatters": [] }, { "Institution": "The Lake Bank, National Association", "CharterNumber": "24048", "Company": "", "Individual": "Todd Haugen", "Location": "Two Harbors, MN", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "12000.00", "StartDate": "07/20/2005", "StartDocuments": [ "2005-108" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-05-47", "SubjectMatters": [] }, { "Institution": "The Lake Bank, National Association", "CharterNumber": "24048", "Company": "", "Individual": "Mark Johnson", "Location": "Two Harbors, MN", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "12000.00", "StartDate": "08/05/2005", "StartDocuments": [ "2005-190" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Lake Bank, National Association", "CharterNumber": "24048", "Company": "", "Individual": "Thomas P. Kell", "Location": "Two Harbors, MN", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "04/04/2006", "StartDocuments": [ "2006-32" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Lake Bank, National Association", "CharterNumber": "24048", "Company": "", "Individual": "Thomas P. Kell", "Location": "Two Harbors, MN", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "50000.00", "StartDate": "04/04/2006", "StartDocuments": [ "2006-32" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Lake Bank, National Association", "CharterNumber": "24048", "Company": "", "Individual": "Lance Schwanke", "Location": "Two Harbors, MN", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "10/24/2005", "StartDocuments": [ "2005-145" ], "TerminationDate": "11/17/2015", "TerminationDocuments": [ "2015-145" ], "DocketNumber": "AA-EC-05-45", "SubjectMatters": [] }, { "Institution": "The Lake Bank, National Association", "CharterNumber": "24048", "Company": "", "Individual": "Lance Schwanke", "Location": "Two Harbors, MN", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2000.00", "StartDate": "10/24/2005", "StartDocuments": [ "2005-144" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-05-45", "SubjectMatters": [] }, { "Institution": "The Lamesa National Bank", "CharterNumber": "13111", "Company": "", "Individual": "", "Location": "Lamesa, TX", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "08/03/2010", "StartDocuments": [ "2010-178" ], "TerminationDate": "06/01/2012", "TerminationDocuments": [ "2012-284" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Lamesa National Bank", "CharterNumber": "13111", "Company": "", "Individual": "Elwood Freeman", "Location": "Lamesa, TX", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "09/30/2013", "StartDocuments": [ "2013-163" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2013-54", "SubjectMatters": [ "Breach of Fiduciary Duty", "Insider Issues", "Lending Issues" ] }, { "Institution": "The Lamesa National Bank", "CharterNumber": "13111", "Company": "", "Individual": "Elwood Freeman", "Location": "Lamesa, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000.00", "StartDate": "09/30/2013", "StartDocuments": [ "2013-163" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2013-54", "SubjectMatters": [ "Breach of Fiduciary Duty", "Insider Issues", "Lending Issues" ] }, { "Institution": "The Lamesa National Bank", "CharterNumber": "13111", "Company": "", "Individual": "Elwood Freeman", "Location": "Lamesa, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "06/22/2011", "StartDocuments": [ "2011-106" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-SO-11-58", "SubjectMatters": [] }, { "Institution": "The Lancaster National Bank", "CharterNumber": "2600", "Company": "", "Individual": "", "Location": "Lancaster, NH", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "06/13/2007", "StartDocuments": [ "2007-072" ], "TerminationDate": "07/12/2008", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Laredo National Bank", "CharterNumber": "5001", "Company": "", "Individual": "", "Location": "Laredo, TX", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "08/16/2006", "StartDocuments": [ "2006-178" ], "TerminationDate": "07/19/2007", "TerminationDocuments": [ "2007-092" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Laredo National Bank", "CharterNumber": "5001", "Company": "", "Individual": "", "Location": "Laredo, TX", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "11/03/2005", "StartDocuments": [ "2005-142" ], "TerminationDate": "07/19/2007", "TerminationDocuments": [ "2007-092" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Laredo National Bank", "CharterNumber": "5001", "Company": "Homeowners Loan Corp.", "Individual": "", "Location": "Laredo, TX", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "08/16/2006", "StartDocuments": [ "2006-178" ], "TerminationDate": "07/19/2007", "TerminationDocuments": [ "2007-092" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Laredo National Bank", "CharterNumber": "5001", "Company": "Homeowners Loan Corp.", "Individual": "", "Location": "Laredo, TX", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "11/03/2005", "StartDocuments": [ "2005-142" ], "TerminationDate": "07/19/2007", "TerminationDocuments": [ "2007-092" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Lemont National Bank", "CharterNumber": "11715", "Company": "", "Individual": "", "Location": "Lemont, IL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "05/01/2024", "StartDocuments": [ "AA-CE-2024-38" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-CE-2024-38", "SubjectMatters": [ "Capital", "Earnings", "Enterprise Governance / Internal Controls / General Risk Management", "Liquidity", "Strategic Planning" ] }, { "Institution": "The Lemont National Bank", "CharterNumber": "11715", "Company": "", "Individual": "Elizabeth M. Culbertson", "Location": "Lemont, IL", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "05/29/2008", "StartDocuments": [ "2008-049" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-07-80", "SubjectMatters": [] }, { "Institution": "The Leonard National Bank", "CharterNumber": "12382", "Company": "", "Individual": "", "Location": "Leonard, TX", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "04/02/1991", "StartDocuments": [ "241" ], "TerminationDate": "11/10/1993", "TerminationDocuments": [ "93-303" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Lincoln National Bank of Hodgenville", "CharterNumber": "13479", "Company": "", "Individual": "Dara B. Brackett", "Location": "Hodgenville, KY", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "06/11/2008", "StartDocuments": [ "2008-063" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-08-14", "SubjectMatters": [] }, { "Institution": "The Lincoln National Bank of Hodgenville", "CharterNumber": "13479", "Company": "", "Individual": "Tommy V. 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PAUL, MN", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "05/19/1992", "StartDocuments": [ "616" ], "TerminationDate": "03/21/1996", "TerminationDocuments": [ "96-36" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Midway National Bank Of St. Paul", "CharterNumber": "13131", "Company": "", "Individual": "David D. Anderson", "Location": "ST. PAUL, MN", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1500.00", "StartDate": "03/01/1994", "StartDocuments": [ "94-30" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Midway National Bank Of St. Paul", "CharterNumber": "13131", "Company": "", "Individual": "David D. Gross", "Location": "ST. PAUL, MN", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "4000.00", "StartDate": "02/18/1994", "StartDocuments": [ "94-31" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Midway National Bank Of St. Paul", "CharterNumber": "13131", "Company": "", "Individual": "John A. Ritt", "Location": "ST. PAUL, MN", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000.00", "StartDate": "03/29/1994", "StartDocuments": [ "94-33" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Midway National Bank Of St. Paul", "CharterNumber": "13131", "Company": "", "Individual": "Donald A. Traxler", "Location": "ST. PAUL, MN", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1150.00", "StartDate": "02/18/1994", "StartDocuments": [ "94-34" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Midway National Bank Of St. Paul", "CharterNumber": "13131", "Company": "", "Individual": "Richard L. Tyson", "Location": "ST. PAUL, MN", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1150.00", "StartDate": "02/18/1994", "StartDocuments": [ "94-35" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Midway National Bank of St. Paul", "CharterNumber": "13131", "Company": "", "Individual": "Albert E. 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Kenneally", "Location": "Metropolis, IL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "04/02/2004", "StartDocuments": [ "2004-19" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The National State Bank of Metropolis", "CharterNumber": "5254", "Company": "", "Individual": "Bernard P. 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Weston Sloan", "Location": "Rushville, IN", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000.00", "StartDate": "09/24/1992", "StartDocuments": [ "880" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Rushville National Bank", "CharterNumber": "1456", "Company": "", "Individual": "John K. Snyder", "Location": "Rushville, IN", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "09/11/1996", "StartDocuments": [ "96-98" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-93-94", "SubjectMatters": [] }, { "Institution": "The Rushville National Bank", "CharterNumber": "1456", "Company": "", "Individual": "John K. Snyder", "Location": "Rushville, IN", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "25000.00", "StartDate": "08/19/1996", "StartDocuments": [ "96-42" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-93-95", "SubjectMatters": [] }, { "Institution": "The Rushville National Bank", "CharterNumber": "1456", "Company": "", "Individual": "John K. Snyder", "Location": "Rushville, IN", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3000.00", "StartDate": "10/14/1992", "StartDocuments": [ "844" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-92-78", "SubjectMatters": [] }, { "Institution": "The Rushville National Bank", "CharterNumber": "1456", "Company": "", "Individual": "Robert Veatch", "Location": "Rushville, IN", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3000.00", "StartDate": "10/14/1992", "StartDocuments": [ "845" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-92-78", "SubjectMatters": [] }, { "Institution": "The Savannah Bank National Association", "CharterNumber": "22152", "Company": "", "Individual": "", "Location": "Savannah, GA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "10/05/2011", "StartDocuments": [ "2011-156" ], "TerminationDate": "12/13/2012", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Shattuck National Bank", "CharterNumber": "9987", "Company": "", "Individual": "", "Location": "Shattuck, OK", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "11/18/2009", "StartDocuments": [ "2009-243" ], "TerminationDate": "10/27/2010", "TerminationDocuments": [ "2010-270" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Shattuck National Bank", "CharterNumber": "9987", "Company": "", "Individual": "James Michael Stuart", "Location": "Shattuck, OK", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3000.00", "StartDate": "12/22/2003", "StartDocuments": [ "2003-152" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Slocomb National Bank", "CharterNumber": "7940", "Company": "", "Individual": "", "Location": "Slocomb, AL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "08/10/2010", "StartDocuments": [ "2010-170" ], "TerminationDate": "08/31/2012", "TerminationDocuments": [ "2012-221" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Somerville National Bank", "CharterNumber": "9859", "Company": "", "Individual": "", "Location": "Somerville, OH", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "03/29/2016", "StartDocuments": [ "2016-036" ], "TerminationDate": "02/02/2017", "TerminationDocuments": [ "2017-025" ], "DocketNumber": "AA-CE-2016-18", "SubjectMatters": [ "Board / Management Oversight", "Compliance Risk Management", "Consumer Law", "Investment/Other than Temporary Impairment", "Noncompliance with Enforcement Action", "Trading & Securities", "Unsafe or Unsound Practices (Other)" ] }, { "Institution": "The Somerville National Bank", "CharterNumber": "9859", "Company": "", "Individual": "", "Location": "Somerville, OH", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "8770.00", "StartDate": "05/29/2014", "StartDocuments": [ "2014-063" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-CE-2014-58", "SubjectMatters": [ "Consumer Law", "Flood Insurance" ] }, { "Institution": "The Somerville National Bank", "CharterNumber": "9859", "Company": "", "Individual": "", "Location": "Somerville, OH", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "06/12/2013", "StartDocuments": [ "2013-076" ], "TerminationDate": "03/29/2016", "TerminationDocuments": [ "2016-036" ], "DocketNumber": "", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Appraisals", "Asset Quality", "Audit", "Board / Management Oversight", "Compensation", "Compliance Risk Management", "Concentration Risk Management", "Consumer Law", "Credit/Collateral Exceptions", "Enterprise Governance / Internal Controls / General Risk Management", "Flood Insurance", "Insider Issues", "Internal Audit", "Lending Issues", "Other Lending Deficiencies", "Problem Loan Identification", "Sensitivity to Market Risk", "Trading & Securities" ] }, { "Institution": "The Somerville National Bank", "CharterNumber": "9859", "Company": "", "Individual": "", "Location": "Somerville, OH", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "06/03/2003", "StartDocuments": [ "2003-74" ], "TerminationDate": "01/19/2005", "TerminationDocuments": [ "2005-8" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Somerville National Bank", "CharterNumber": "9859", "Company": "", "Individual": "Douglas Ulrich", "Location": "Somerville, OH", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "09/14/2015", "StartDocuments": [ "2015-104" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-CE-2015-61", "SubjectMatters": [ "Appraisals", "BSA Violation Cited", "BSA/AML", "Consumer Law", "Lending Issues", "Loans to Insiders (incl. Reg O)", "Noncompliance with Enforcement Action", "SAR/CTR Monitoring/Filing Issue", "TILA/RESPA", "Violation Cited (Other)" ] }, { "Institution": "The State National Bank of Garfield", "CharterNumber": "12231", "Company": "", "Individual": "", "Location": "Garfield, WA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "07/17/2001", "StartDocuments": [ "2001-58" ], "TerminationDate": "11/18/2002", "TerminationDocuments": [ "2002-127" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The State National Bank Of Garfield", "CharterNumber": "12231", "Company": "", "Individual": "", "Location": "Garfield, WA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "07/17/1995", "StartDocuments": [ "95-42" ], "TerminationDate": "01/10/1997", "TerminationDocuments": [ "96-80" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The State National Bank Of Garfield", "CharterNumber": "12231", "Company": "", "Individual": "Dolores A. Johnson", "Location": "Garfield, WA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "06/05/1996", "StartDocuments": [ "96-33" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-95-30", "SubjectMatters": [] }, { "Institution": "The State National Bank of Garfield", "CharterNumber": "12231", "Company": "", "Individual": "Don Johnson", "Location": "Garfield, WA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "06/30/1993", "StartDocuments": [ "93-187" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The State National Bank of Garfield", "CharterNumber": "12231", "Company": "", "Individual": "Donald M. Johnson", "Location": "Garfield, WA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000.00", "StartDate": "06/05/1996", "StartDocuments": [ "96-31" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The State National Bank of Garfield", "CharterNumber": "12231", "Company": "", "Individual": "Donald M. Johnson", "Location": "Garfield, WA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1000.00", "StartDate": "05/29/1996", "StartDocuments": [ "96-34" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The State National Bank of Garfield", "CharterNumber": "12231", "Company": "", "Individual": "Donald M. Johnson", "Location": "Garfield, WA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3000.00", "StartDate": "02/12/1996", "StartDocuments": [ "96-88" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The State National Bank of Heavener", "CharterNumber": "10239", "Company": "", "Individual": "", "Location": "Heavener, OK", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "01/12/1999", "StartDocuments": [ "99-64" ], "TerminationDate": "09/13/2000", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Suffolk County National Bank of Riverhead", "CharterNumber": "4230", "Company": "", "Individual": "", "Location": "Riverhead, NY", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "10/25/2010", "StartDocuments": [ "2010-228" ], "TerminationDate": "05/29/2013", "TerminationDocuments": [ "2013-084" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Summit National Bank", "CharterNumber": "21484", "Company": "", "Individual": "", "Location": "Atlanta, GA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "01/19/2006", "StartDocuments": [ "2006-2" ], "TerminationDate": "01/16/2007", "TerminationDocuments": [ "2007-031" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The University National Bank of Lawrence", "CharterNumber": "22241", "Company": "", "Individual": "", "Location": "Lawrence, KS", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "05/27/2009", "StartDocuments": [ "2009-068" ], "TerminationDate": "02/28/2013", "TerminationDocuments": [ "2013-016" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Upstate National Bank", "CharterNumber": "12018", "Company": "", "Individual": "", "Location": "Lisbon, NY", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "03/22/2002", "StartDocuments": [ "2002-38" ], "TerminationDate": "11/04/2004", "TerminationDocuments": [ "2004-160" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Upstate National Bank", "CharterNumber": "12018", "Company": "", "Individual": "", "Location": "Ogdensburg, NY", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "11/16/2023", "StartDocuments": [ "2023-035" ], "TerminationDate": "12/18/2025", "TerminationDocuments": [ "AA-NE-2025-65" ], "DocketNumber": "AA-NE-2023-59", "SubjectMatters": [ "Board / Management Oversight", "Capital", "Inaccurate / Incomplete / False Books and Records", "Liquidity", "Sensitivity to Market Risk", "Strategic Planning", "Third Party Risk Management" ] }, { "Institution": "The Upstate National Bank", "CharterNumber": "12018", "Company": "", "Individual": "", "Location": "Lisbon, NY", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "02/12/2009", "StartDocuments": [ "2009-036" ], "TerminationDate": "02/26/2014", "TerminationDocuments": [ "2014-043" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Upstate National Bank", "CharterNumber": "12018", "Company": "", "Individual": "", "Location": "Lisbon, NY", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "06/24/2008", "StartDocuments": [ "2008-057" ], "TerminationDate": "02/12/2009", "TerminationDocuments": [ "2009-036" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Upstate National Bank", "CharterNumber": "12018", "Company": "", "Individual": "", "Location": "Lisbon, NY", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "11/04/2004", "StartDocuments": [ "2004-154" ], "TerminationDate": "03/22/2006", "TerminationDocuments": [ "2006-28" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Valley View National Bank", "CharterNumber": "12711", "Company": "", "Individual": "Charles S. McKamy", "Location": "Valley View, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1000.00", "StartDate": "10/05/1992", "StartDocuments": [ "716" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-92-25", "SubjectMatters": [] }, { "Institution": "The Valley View National Bank", "CharterNumber": "12711", "Company": "", "Individual": "E.D. Pitman", "Location": "Valley View, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "7000.00", "StartDate": "10/05/1992", "StartDocuments": [ "717" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-92-26", "SubjectMatters": [] }, { "Institution": "The Valley View National Bank", "CharterNumber": "12711", "Company": "", "Individual": "Mike Wilson", "Location": "Valley View, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1000.00", "StartDate": "11/16/1992", "StartDocuments": [ "771" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Valley View National Bank", "CharterNumber": "12711", "Company": "", "Individual": "J.E. Bland", "Location": "Valley View, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2000.00", "StartDate": "08/18/1992", "StartDocuments": [ "692" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Waller Bank, N.A.", "CharterNumber": "18657", "Company": "", "Individual": "James Hauck", "Location": "Waller, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3000.00", "StartDate": "02/26/1991", "StartDocuments": [ "908" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Waller Bank, N.A.", "CharterNumber": "18657", "Company": "", "Individual": "Diane Ladig", "Location": "Waller, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "500.00", "StartDate": "04/29/1991", "StartDocuments": [ "912" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-SW-91-30", "SubjectMatters": [] }, { "Institution": "The White Hall National Bank", "CharterNumber": "7077", "Company": "", "Individual": "", "Location": "White Hall, IL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "05/22/2001", "StartDocuments": [ "2001-33" ], "TerminationDate": "02/28/2003", "TerminationDocuments": [ "2003-30" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Wolfe City National Bank in Wolfe City", "CharterNumber": "13199", "Company": "", "Individual": "J. Michael Doyle", "Location": "Wolfe City, TX", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "01/27/1996", "StartDocuments": [ "95-100" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-95-9 & 10", "SubjectMatters": [] }, { "Institution": "Theodore Roosevelt National Bank", "CharterNumber": "21647", "Company": "", "Individual": "", "Location": "Washington, DC", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "08/12/1991", "StartDocuments": [ "336" ], "TerminationDate": "03/26/1992", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Thomasville National Bank", "CharterNumber": "22883", "Company": "", "Individual": "", "Location": "Thomasville, GA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "500.00", "StartDate": "05/18/2007", "StartDocuments": [ "2007-048" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-SO-07-XX", "SubjectMatters": [] }, { "Institution": "TIAA-CREF Trust Company FSB", "CharterNumber": "715018", "Company": "", "Individual": "", "Location": "St. Louis, MO", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "06/28/2013", "StartDocuments": [ "2013-071" ], "TerminationDate": "10/09/2015", "TerminationDocuments": [ "2015-117" ], "DocketNumber": "AA-NE-2013-44", "SubjectMatters": [ "Board / Management Oversight", "BSA Independent Testing/Audit", "BSA Internal Controls", "BSA Officer", "BSA Risk Assessment", "BSA Training", "BSA/AML", "Capital", "Customer/Enhanced Due Diligence (CDD/EDD)", "Earnings", "Liquidity", "SAR/CTR Monitoring/Filing Issue", "Sensitivity to Market Risk", "Strategic Planning" ] }, { "Institution": "Titan Bank, National Association", "CharterNumber": "12437", "Company": "", "Individual": "Dacey Malone", "Location": "Mineral Wells, TX", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "11/29/2018", "StartDocuments": [ "2018-091" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2018-71", "SubjectMatters": [ "Breach of Fiduciary Duty", "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "Titan Bank, National Association", "CharterNumber": "12437", "Company": "", "Individual": "Dacey Malone", "Location": "Mineral Wells, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "20000.00", "StartDate": "11/29/2018", "StartDocuments": [ "2018-091" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2018-71", "SubjectMatters": [ "Breach of Fiduciary Duty", "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "Tomatobank, National Association", "CharterNumber": "23999", "Company": "", "Individual": "", "Location": "Diamond Bar, CA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "11/19/2008", "StartDocuments": [ "2008-149" ], "TerminationDate": "11/04/2013", "TerminationDocuments": [ "2013-184" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Touchmark National Bank", "CharterNumber": "24789", "Company": "", "Individual": "", "Location": "Alpharetta, GA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "04/17/2024", "StartDocuments": [ "AA-SO-2024-25" ], "TerminationDate": "02/17/2026", "TerminationDocuments": [ "AA-SO-2026-12" ], "DocketNumber": "AA-SO-2024-25", "SubjectMatters": [ "Audit", "Board / Management Oversight", "General IT Controls", "GLBA (12 CFR 30, Appx B)", "Information Technology", "Internal Audit", "Lending Issues", "Liquidity", "Problem Loan Identification", "Sensitivity to Market Risk", "Strategic Planning" ] }, { "Institution": "Town-Country National Bank", "CharterNumber": "16708", "Company": "", "Individual": "", "Location": "Camden, AL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "01/28/2004", "StartDocuments": [ "2004-4" ], "TerminationDate": "04/26/2006", "TerminationDocuments": [ "2006-38" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Traders National Bank", "CharterNumber": "4020", "Company": "", "Individual": "", "Location": "Tullahoma, TN", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "06/09/2011", "StartDocuments": [ "2011-098" ], "TerminationDate": "09/12/2013", "TerminationDocuments": [ "2013-157" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Trans Pacific National Bank", "CharterNumber": "18358", "Company": "", "Individual": "", "Location": "San Francisco, CA", "TypeCode": "FA", "TypeDescription": 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Dick", "Location": "Jackson, MS", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "07/09/2015", "StartDocuments": [ "2015-083" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2015-21", "SubjectMatters": [ "Breach of Fiduciary Duty", "Fraud/Forgery", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Trust Activities", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Trustmark National Bank", "CharterNumber": "10523", "Company": "", "Individual": "Joe L. 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Henderson", "Location": "Jackson, MS", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "11/23/2009", "StartDocuments": [ "2009-203" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-09-34", "SubjectMatters": [] }, { "Institution": "Trustmark National Bank", "CharterNumber": "10523", "Company": "", "Individual": "Jesus Hernandez", "Location": "Jackson, MS", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "09/26/2014", "StartDocuments": [ "2014-133" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2014-2", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Trustmark National Bank", "CharterNumber": "10523", "Company": "", "Individual": "Hailey Sheets", "Location": "Jackson, MS", "TypeCode": "1829", "TypeDescription": "1829 Prohibition Notification", "Amount": "0.00", "StartDate": "04/09/2026", "StartDocuments": [ "2026-12" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Violation Cited (Criminal Statute)" ] }, { "Institution": "Trustmark National Bank", "CharterNumber": "10523", "Company": "", "Individual": "William O. 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Brown", "Location": "Cincinnati, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "02/20/2004", "StartDocuments": [ "2004-11" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "U.S. Bank National Association", "CharterNumber": "24", "Company": "", "Individual": "Meynard Bumatay", "Location": "Cincinnati, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "06/02/2017", "StartDocuments": [ "2017-045" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2017-22", "SubjectMatters": [ "Breach of Fiduciary Duty", "Fraud/Forgery", "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "U.S. Bank National Association", "CharterNumber": "13405", "Company": "", "Individual": "Nudchanart Charoenlert", "Location": "Minneapolis, MN", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "05/06/2004", "StartDocuments": [ "2004-46" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "U.S. Bank National Association", "CharterNumber": "13405", "Company": "", "Individual": "Nudchanart Charoenlert", "Location": "Minneapolis, MN", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "05/06/2004", "StartDocuments": [ "2004-46" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "U.S. Bank National Association", "CharterNumber": "24", "Company": "", "Individual": "Theresa Cobb", "Location": "Cincinnati, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "02/12/2007", "StartDocuments": [ "2007-018" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-06-61", "SubjectMatters": [] }, { "Institution": "U.S. Bank National Association", "CharterNumber": "24", "Company": "", "Individual": "Theresa Cobb", "Location": "Cincinnati, OH", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "3000.00", "StartDate": "02/12/2007", "StartDocuments": [ "2007-018" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-06-61", "SubjectMatters": [] }, { "Institution": "U.S. Bank National Association", "CharterNumber": "24", "Company": "", "Individual": "Alexis Day", "Location": "Cincinnati, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "09/26/2024", "StartDocuments": [ "AA-ENF-2024-79" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2024-79", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "U.S. Bank National Association", "CharterNumber": "24", "Company": "", "Individual": "D'Andrea L. Dunn", "Location": "Cincinnati, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "10/02/2019", "StartDocuments": [ "2019-059" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2019-48", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "U.S. Bank National Association", "CharterNumber": "24", "Company": "", "Individual": "Timothy Troy Elison", "Location": "Cincinnati, OH", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "02/09/2009", "StartDocuments": [ "2009-029" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-08-86", "SubjectMatters": [] }, { "Institution": "U.S. Bank National Association", "CharterNumber": "13405", "Company": "", "Individual": "Flora Eritsyan", "Location": "Minneapolis, MN", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "12/20/2004", "StartDocuments": [ "2004-141" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-04-20", "SubjectMatters": [] }, { "Institution": "U.S. Bank National Association", "CharterNumber": "24", "Company": "", "Individual": "Linda S. Foss", "Location": "Cincinnati, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "02/06/2014", "StartDocuments": [ "2014-015" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2013-78", "SubjectMatters": [ "Breach of Fiduciary Duty", "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "U.S. Bank National Association", "CharterNumber": "24", "Company": "", "Individual": "Michelle L. Frisbie", "Location": "Cincinnati, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "05/09/2006", "StartDocuments": [ "2006-48" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-06-18", "SubjectMatters": [] }, { "Institution": "U.S. Bank National Association", "CharterNumber": "24", "Company": "", "Individual": "Michelle L. Frisbie", "Location": "Cincinnati, OH", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "3489.00", "StartDate": "05/09/2006", "StartDocuments": [ "2006-48" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-06-18", "SubjectMatters": [] }, { "Institution": "U.S. Bank National Association", "CharterNumber": "24", "Company": "", "Individual": "Frank Garcia", "Location": "Cincinnati, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "07/22/2004", "StartDocuments": [ "2004-88" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-04-66", "SubjectMatters": [] }, { "Institution": "U.S. Bank National Association", "CharterNumber": "24", "Company": "", "Individual": "Alexis G. Gibson", "Location": "Cincinnati, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "11/21/2002", "StartDocuments": [ "2002-140" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "U.S. Bank National Association", "CharterNumber": "24", "Company": "", "Individual": "Jamika Jones", "Location": "Cincinnati, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "01/28/2020", "StartDocuments": [ "2020-008" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2020-3", "SubjectMatters": [ "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "U.S. Bank National Association", "CharterNumber": "24", "Company": "", "Individual": "Michael S. LaFontaine", "Location": "Cincinnati, OH", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "50000.00", "StartDate": "03/05/2020", "StartDocuments": [ "2020-011" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2019-94", "SubjectMatters": [ "BSA Officer", "BSA Program Violation / 12 CFR 21.21", "BSA Violation Cited", "BSA/AML", "SAR/CTR Monitoring/Filing Issue" ] }, { "Institution": "U.S. Bank National Association", "CharterNumber": "24", "Company": "", "Individual": "Samuel Marquez", "Location": "Cincinnati, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "08/17/2017", "StartDocuments": [ "2017-067" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2017-32", "SubjectMatters": [ "Fraud/Forgery", "Insider Issues", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "U.S. Bank National Association", "CharterNumber": "24", "Company": "", "Individual": "Betty Gail Miller", "Location": "Cincinnati, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "08/29/2017", "StartDocuments": [ "2017-110" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "U.S. Bank National Association", "CharterNumber": "24", "Company": "", "Individual": "Sarah Miller", "Location": "Cincinnati, OH", "TypeCode": "1829", "TypeDescription": "1829 Prohibition Notification", "Amount": "0.00", "StartDate": "08/26/2024", "StartDocuments": [ "2024-35" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Violation Cited (Criminal Statute)" ] }, { "Institution": "U.S. Bank National Association", "CharterNumber": "24", "Company": "", "Individual": "Taylor Mitchell", "Location": "Cincinnati, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "01/03/2018", "StartDocuments": [ "2018-001" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2017-64", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "U.S. Bank National Association", "CharterNumber": "24", "Company": "", "Individual": "Geraldine Moore", "Location": "Cincinnati, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "03/06/2019", "StartDocuments": [ "2019-010" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2018-45", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "U.S. Bank National Association", "CharterNumber": "24", "Company": "", "Individual": "Estela Ramos", "Location": "Cincinnati, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "08/28/2006", "StartDocuments": [ "2006-100" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-06-08", "SubjectMatters": [] }, { "Institution": "U.S. Bank National Association", "CharterNumber": "24", "Company": "", "Individual": "Erica Roberson", "Location": "Cincinnati, OH", "TypeCode": "1829", "TypeDescription": "1829 Prohibition Notification", "Amount": "0.00", "StartDate": "04/01/2024", "StartDocuments": [ "2024-14" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Violation Cited (Criminal Statute)" ] }, { "Institution": "U.S. Bank National Association", "CharterNumber": "13405", "Company": "", "Individual": "Cathy G. Scarlett", "Location": "Minneapolis, MN", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "04/29/2005", "StartDocuments": [ "2005-49" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "U.S. Bank National Association", "CharterNumber": "24", "Company": "", "Individual": "Vicki W. Sickels", "Location": "Cincinnati, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "11/19/2009", "StartDocuments": [ "2009-205" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-09-86", "SubjectMatters": [] }, { "Institution": "U.S. Bank National Association", "CharterNumber": "24", "Company": "", "Individual": "Kathyrn Thomure (n/k/a Makler)", "Location": "Cincinnati, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "06/05/2024", "StartDocuments": [ "AA-ENF-2024-15" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2024-15", "SubjectMatters": [ "Fraud/Forgery", "Insider Issues", "Violation Cited (Criminal Statute)" ] }, { "Institution": "U.S. Bank National Association", "CharterNumber": "24", "Company": "", "Individual": "Jeffrey White", "Location": "Cincinnati, OH", "TypeCode": "1829", "TypeDescription": "1829 Prohibition Notification", "Amount": "0.00", "StartDate": "10/23/2024", "StartDocuments": [ "2024-37" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Violation Cited (Criminal Statute)" ] }, { "Institution": "U.S. Bank National Association ND", "CharterNumber": "23446", "Company": "", "Individual": "", "Location": "Fargo, ND", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "02/28/2013", "StartDocuments": [ "2013-128" ], "TerminationDate": "05/13/2013", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Consumer Law", "Foreclosures", "Lending Issues" ] }, { "Institution": "U.S. Bank National Association ND", "CharterNumber": "23446", "Company": "", "Individual": "", "Location": "Fargo, ND", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "80060193.00", "StartDate": "02/28/2013", "StartDocuments": [ "2013-128" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Consumer Law", "Foreclosures", "Lending Issues" ] }, { "Institution": "U.S. Bank National Association ND", "CharterNumber": "23446", "Company": "", "Individual": "", "Location": "Fargo, ND", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "04/13/2011", "StartDocuments": [ "2011-049" ], "TerminationDate": "05/13/2013", "TerminationDocuments": [], "DocketNumber": "AA-EC-11-18", "SubjectMatters": [] }, { "Institution": "U.S. National Bank Of Clayton", "CharterNumber": "21552", "Company": "", "Individual": "", "Location": "St. Louis, MO", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "12/05/1990", "StartDocuments": [ "150" ], "TerminationDate": "03/29/1994", "TerminationDocuments": [ "776" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "U.S. National Bank Of Clayton", "CharterNumber": "21552", "Company": "", "Individual": "O. Bruce Mills", "Location": "St. Louis, MO", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "7500.00", "StartDate": "04/08/1994", "StartDocuments": [ "94-89" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "U.S. National Bank Of Clayton", "CharterNumber": "21552", "Company": "", "Individual": "O. Bruce Mills", "Location": "St. Louis, MO", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "12/05/1991", "StartDocuments": [ "626" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-MW-91-135", "SubjectMatters": [] }, { "Institution": "UBS Ag", "CharterNumber": "80113", "Company": "", "Individual": "", "Location": "New York, NY", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "03/24/2017", "StartDocuments": [ "2017-030" ], "TerminationDate": "05/31/2018", "TerminationDocuments": [ "2018-053" ], "DocketNumber": "", "SubjectMatters": [ "Board / Management Oversight", "BSA Internal Controls", "BSA Pillar Violation / 12 CFR 21.21(d)", "BSA Risk Assessment", "BSA Violation Cited", "BSA/AML", "Customer/Enhanced Due Diligence (CDD/EDD)", "OFAC Compliance Issue", "SAR/CTR Monitoring/Filing Issue" ] }, { "Institution": "UBS AG Miami Branch", "CharterNumber": "80115", "Company": "", "Individual": "", "Location": "Miami, FL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "05/31/2018", "StartDocuments": [ "2018-044" ], "TerminationDate": "12/31/2021", "TerminationDocuments": [], "DocketNumber": "AA-EC-2018-30", "SubjectMatters": [ "BSA Independent Testing/Audit", "BSA Internal Controls", "BSA Officer", "BSA Program Violation / 12 CFR 21.21", "BSA Risk Assessment", "BSA SAR Violation / 12 CFR 21.11 or 163.180", "BSA Training", "BSA Violation Cited", "BSA/AML", "Customer/Enhanced Due Diligence (CDD/EDD)", "SAR/CTR Monitoring/Filing Issue" ] }, { "Institution": "UBS AG NY 787 7th Ave WMA Branch", "CharterNumber": "80113", "Company": "", "Individual": "", "Location": "New York, NY", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "05/31/2018", "StartDocuments": [ "2018-044" ], "TerminationDate": "12/31/2021", "TerminationDocuments": [], "DocketNumber": "AA-EC-2018-30", "SubjectMatters": [ "BSA Independent Testing/Audit", "BSA Internal Controls", "BSA Officer", "BSA Program Violation / 12 CFR 21.21", "BSA Risk Assessment", "BSA SAR Violation / 12 CFR 21.11 or 163.180", "BSA Training", "BSA Violation Cited", "BSA/AML", "Customer/Enhanced Due Diligence (CDD/EDD)", "SAR/CTR Monitoring/Filing Issue" ] }, { "Institution": "UBS AG Stamford Br", "CharterNumber": "80135", "Company": "", "Individual": "", "Location": "Stamford, CT", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "06/05/2017", "StartDocuments": [ "2017-042" ], "TerminationDate": "07/19/2021", "TerminationDocuments": [ "2021-027" ], "DocketNumber": "AA-EC-2017-17", "SubjectMatters": [ "Audit", "Compliance Risk Management", "Foreign Exchange (FX)", "Internal Audit", "Trading & Securities" ] }, { "Institution": "UBS AG Stamford Branch", "CharterNumber": "80135", "Company": "", "Individual": "", "Location": "Stamford, CT", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "05/31/2018", "StartDocuments": [ "2018-044" ], "TerminationDate": "11/25/2025", "TerminationDocuments": [ "AA-ENF-2025-60" ], "DocketNumber": "AA-EC-2018-30", "SubjectMatters": [ "BSA Independent Testing/Audit", "BSA Internal Controls", "BSA Officer", "BSA Program Violation / 12 CFR 21.21", "BSA Risk Assessment", "BSA SAR Violation / 12 CFR 21.11 or 163.180", "BSA Training", "BSA Violation Cited", "BSA/AML", "Customer/Enhanced Due Diligence (CDD/EDD)", "SAR/CTR Monitoring/Filing Issue" ] }, { "Institution": "UMB Bank, National Association", "CharterNumber": "23920", "Company": "", "Individual": "", "Location": "Kansas City, MO", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "08/01/2017", "StartDocuments": [ "2017-052" ], "TerminationDate": "04/24/2019", "TerminationDocuments": [ "2019-027" ], "DocketNumber": "AA-EC-2017-16", "SubjectMatters": [ "Compliance Risk Management", "Consumer Law", "Third Party Risk Management", "Unfair or Deceptive (UDAP)" ] }, { "Institution": "UMB Bank, National Association", "CharterNumber": "23920", "Company": "", "Individual": "", "Location": "Kansas City, MO", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1500000.00", "StartDate": "08/01/2017", "StartDocuments": [ "2017-063" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2017-15", "SubjectMatters": [ "Consumer Law", "Unfair or Deceptive (UDAP)" ] }, { "Institution": "UMB Bank, National Association", "CharterNumber": "23920", "Company": "", "Individual": "", "Location": "Kansas City, MO", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "See Order", "StartDate": "08/01/2017", "StartDocuments": [ "2017-052" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2017-16", "SubjectMatters": [ "Compliance Risk Management", "Consumer Law", "Third Party Risk Management", "Unfair or Deceptive (UDAP)" ] }, { "Institution": "UMB Bank, National Association", "CharterNumber": "23920", "Company": "", "Individual": "Samantha Cherry", "Location": "Kansas City, MO", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "02/07/2024", "StartDocuments": [ "AA-WE-2023-60" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-WE-2023-60", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "UMB Bank, National Association", "CharterNumber": "23920", "Company": "", "Individual": "Daniel Garrett", "Location": "Kansas City, MO", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "07/09/2010", "StartDocuments": [ "2010-220" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-09-29", "SubjectMatters": [] }, { "Institution": "Union Bank Of Arizona, Na", "CharterNumber": "23330", "Company": "", "Individual": "", "Location": "Gilbert, AZ", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "06/28/2001", "StartDocuments": [ "2001-49" ], "TerminationDate": "05/13/2004", "TerminationDocuments": [ "2004-76" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Union Bank of Arizona, National Association", "CharterNumber": "23330", "Company": "", "Individual": "", "Location": "Gilbert, AZ", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "07/31/2002", "StartDocuments": [ "2002-88" ], "TerminationDate": "02/24/2004", "TerminationDocuments": [ "2004-29" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Union Bank Of California", "CharterNumber": "21541", "Company": "", "Individual": "Danielle J. 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Adams", "Location": "Memphis, TN", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "02/07/2000", "StartDocuments": [ "2000-134" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Union Planters Bank, National Association", "CharterNumber": "13349", "Company": "", "Individual": "Tracy B. 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Wiley", "Location": "Memphis, TN", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "06/25/2004", "StartDocuments": [ "2004-75" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Union Planters Corporation", "CharterNumber": "500247", "Company": "", "Individual": "Bobby W. Rickman", "Location": "Memphis, TN", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "05/28/2003", "StartDocuments": [ "2003-54" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Union Planters National Bank", "CharterNumber": "13349", "Company": "", "Individual": "Sammie R. 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Blanton", "Location": "Atlanta, GA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000.00", "StartDate": "07/10/2017", "StartDocuments": [ "2017-064" ], "TerminationDate": "03/11/2019", "TerminationDocuments": [ "2019-008" ], "DocketNumber": "AA-EC-2015-24", "SubjectMatters": [ "Inaccurate / Incomplete / False Books and Records", "Lending Issues", "Other Lending Deficiencies", "Overdrafts" ] }, { "Institution": "United Americas Bank, National Association", "CharterNumber": "23781", "Company": "", "Individual": "William R. 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Reed", "Location": "Winston-Salem, NC", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "07/28/2003", "StartDocuments": [ "2003-89" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Wachovia Bank, National Association", "CharterNumber": "1559", "Company": "", "Individual": "Thomas K. Reed", "Location": "Winston-Salem, NC", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "7000.00", "StartDate": "07/28/2003", "StartDocuments": [ "2003-89" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-03-06", "SubjectMatters": [] }, { "Institution": "Wachovia Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Yvonnya Leann Richburg", "Location": "Charlotte, NC", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "03/22/2004", "StartDocuments": [ "2004-24" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Wachovia Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Albert Thorn", "Location": "Charlotte, NC", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "11/04/2004", "StartDocuments": [ "2004-142" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-04-92", "SubjectMatters": [] }, { "Institution": "Wachovia Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Maurice Williams", "Location": "Charlotte, NC", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "01/08/2007", "StartDocuments": [ "2007-029" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-06-44", "SubjectMatters": [] }, { "Institution": "Wachovia Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Oral R. Williams", "Location": "Charlotte, NC", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "11/19/2007", "StartDocuments": [ "2007-139" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-07-65", "SubjectMatters": [] }, { "Institution": "Wachovia Corporation", "CharterNumber": "500609", "Company": "", "Individual": "Kevin C. Hudson", "Location": "Charlotte, NC", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "07/01/2002", "StartDocuments": [ "2002-65" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Wachovia Corporation", "CharterNumber": "500609", "Company": "", "Individual": "Lawrence Lillie", "Location": "Charlotte, NC", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "06/18/2003", "StartDocuments": [ "2003-75" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Wallkill Valley FS & LA", "CharterNumber": "702528", "Company": "", "Individual": "Meg James", "Location": "Wallkill, NY", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "03/30/2023", "StartDocuments": [ "2023-006" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2023-11", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "Warsaw FS & LA", "CharterNumber": "701158", "Company": "", "Individual": "", "Location": "Cincinnati, OH", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "04/01/2015", "StartDocuments": [ "2015-036" ], "TerminationDate": "03/12/2020", "TerminationDocuments": [ "2022-035" ], "DocketNumber": "", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Appraisals", "Audit", "Board / Management Oversight", "BSA Internal Controls", "BSA Officer", "BSA/AML", "Capital", "Concentration Risk Management", "Consumer Law", "Credit/Collateral Exceptions", "Earnings", "Internal Audit", "Lending Issues", "Liquidity", "Loan Review", "OFAC Compliance Issue", "OREO", "Other Lending Deficiencies", "Problem Loan Identification", "SAR/CTR Monitoring/Filing Issue", "Sensitivity to Market Risk", "Strategic Planning", "Third Party Risk Management" ] }, { "Institution": "Washington County National Bank", "CharterNumber": "1551", "Company": "", "Individual": "", "Location": "Williamsport, MD", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "07/01/1993", "StartDocuments": [ "93-401" ], "TerminationDate": "09/24/1996", "TerminationDocuments": [ "96-99" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Washington Federal Bank For Savings", "CharterNumber": "712269", "Company": "", "Individual": "", "Location": "Chicago, IL", "TypeCode": "PCAD", "TypeDescription": "Prompt Corrective Action (PCA) Directive", "Amount": "0.00", "StartDate": "12/07/2017", "StartDocuments": [ "2017-109" ], "TerminationDate": "12/15/2017", "TerminationDocuments": [], "DocketNumber": "AA-EC-2017-81", "SubjectMatters": [ "Prompt Corrective Action" ] }, { "Institution": "Washington Federal Bank For Savings", "CharterNumber": "712269", "Company": "", "Individual": "Rosallie Corvite", "Location": "Chicago, IL", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "09/01/2022", "StartDocuments": [ "2022-050" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2022-38", "SubjectMatters": [ "Breach of Fiduciary Duty", "False Statements / Obstruction", "Fraud/Forgery", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Washington Federal Bank For Savings", "CharterNumber": "712269", "Company": "", "Individual": "Rosallie Corvite", "Location": "Chicago, IL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "09/01/2022", "StartDocuments": [ "2022-050" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2022-38", "SubjectMatters": [] }, { "Institution": "Washington Federal Bank For Savings", "CharterNumber": "712269", "Company": "", "Individual": "Rosallie Corvite", "Location": "Chicago, IL", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "See Order", "StartDate": "09/01/2022", "StartDocuments": [ "2022-050" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2022-38", "SubjectMatters": [] }, { "Institution": "Washington Federal Bank For Savings", "CharterNumber": "712269", "Company": "", "Individual": "James Crotty", "Location": "Chicago, IL", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "09/09/2022", "StartDocuments": [ "2022-051" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2022-40", "SubjectMatters": [ "Breach of Fiduciary Duty", "False Statements / Obstruction", "Fraud/Forgery", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Washington Federal Bank For Savings", "CharterNumber": "712269", "Company": "", "Individual": "James Crotty", "Location": "Chicago, IL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "09/09/2022", "StartDocuments": [ "2022-051" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2022-40", "SubjectMatters": [] }, { "Institution": "Washington Federal Bank For Savings", "CharterNumber": "712269", "Company": "", "Individual": "James Crotty", "Location": "Chicago, IL", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "See Order", "StartDate": "09/09/2022", "StartDocuments": [ "2022-051" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2022-40", "SubjectMatters": [] }, { "Institution": "Washington Federal Bank For Savings", "CharterNumber": "712269", "Company": "", "Individual": "Brian Fong", "Location": "Chicago, IL", "TypeCode": "1829", "TypeDescription": "1829 Prohibition Notification", "Amount": "0.00", "StartDate": "12/20/2023", "StartDocuments": [ "2023-058" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Violation Cited (Criminal Statute)" ] }, { "Institution": "Washington Federal Bank For Savings", "CharterNumber": "712269", "Company": "", "Individual": "Jane Iriondo", "Location": "Chicago, IL", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "08/26/2022", "StartDocuments": [ "2022-052" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2022-41", "SubjectMatters": [ "False Statements / Obstruction", "Fraud/Forgery", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Washington Federal Bank For Savings", "CharterNumber": "712269", "Company": "", "Individual": "Jane Iriondo", "Location": "Chicago, IL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "08/26/2022", "StartDocuments": [ "2022-052" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2022-41", "SubjectMatters": [] }, { "Institution": "Washington Federal Bank For Savings", "CharterNumber": "712269", "Company": "", "Individual": "Jane Iriondo", "Location": "Chicago, IL", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "See Order", "StartDate": "08/26/2022", "StartDocuments": [ "2022-052" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2022-41", "SubjectMatters": [] }, { "Institution": "Washington Federal Bank For Savings", "CharterNumber": "712269", "Company": "", "Individual": "George Kozdemba", "Location": "Chicago, IL", "TypeCode": "1829", "TypeDescription": "1829 Prohibition Notification", "Amount": "0.00", "StartDate": "07/31/2024", "StartDocuments": [ "2024-33" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Violation Cited (Criminal Statute)" ] }, { "Institution": "Washington Federal Bank For Savings", "CharterNumber": "712269", "Company": "", "Individual": "William Mahon", "Location": "Chicago, IL", "TypeCode": "1829", "TypeDescription": "1829 Prohibition Notification", "Amount": "0.00", "StartDate": "03/27/2024", "StartDocuments": [ "2024-12" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Violation Cited (Criminal Statute)" ] }, { "Institution": "Washington Federal Bank For Savings", "CharterNumber": "712269", "Company": "", "Individual": "Alicia Mandujano", "Location": "Chicago, IL", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "09/09/2022", "StartDocuments": [ "2022-053" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2022-39", "SubjectMatters": [ "False Statements / Obstruction", "Fraud/Forgery", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Washington Federal Bank For Savings", "CharterNumber": "712269", "Company": "", "Individual": "Alicia Mandujano", "Location": "Chicago, IL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "09/09/2022", "StartDocuments": [ "2022-053" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2022-39", "SubjectMatters": [] }, { "Institution": "Washington Federal Bank For Savings", "CharterNumber": "712269", "Company": "", "Individual": "Alicia Mandujano", "Location": "Chicago, IL", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "See Order", "StartDate": "09/09/2022", "StartDocuments": [ "2022-053" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2022-39", "SubjectMatters": [] }, { "Institution": "Washington Federal Bank For Savings", "CharterNumber": "712269", "Company": "", "Individual": "Cathy Torres", "Location": "Chicago, IL", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "09/12/2022", "StartDocuments": [ "2022-054" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2022-42", "SubjectMatters": [ "False Statements / Obstruction", "Fraud/Forgery", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Washington Federal Bank For Savings", "CharterNumber": "712269", "Company": "", "Individual": "Cathy Torres", "Location": "Chicago, IL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "09/12/2022", "StartDocuments": [ "2022-054" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2022-42", "SubjectMatters": [] }, { "Institution": "Washington Federal Bank For Savings", "CharterNumber": "712269", "Company": "", "Individual": "Cathy Torres", "Location": "Chicago, IL", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "See Order", "StartDate": "09/12/2022", "StartDocuments": [ "2022-054" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2022-42", "SubjectMatters": [] }, { "Institution": "Washington Federal Bank For Savings", "CharterNumber": "712269", "Company": "", "Individual": "Janice Weston", "Location": "Chicago, IL", "TypeCode": "1829", "TypeDescription": "1829 Prohibition Notification", "Amount": "0.00", "StartDate": "07/31/2024", "StartDocuments": [ "2024-34" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Violation Cited (Criminal Statute)" ] }, { "Institution": "Washington Federal Bank, National Association", "CharterNumber": "25073", "Company": "", "Individual": "", "Location": "Seattle, WA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2500000.00", "StartDate": "09/30/2021", "StartDocuments": [ "2021-040" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-WE-2021-38", "SubjectMatters": [ "BSA Program Violation / 12 CFR 21.21", "BSA SAR Violation / 12 CFR 21.11 or 163.180", "BSA Violation Cited", "BSA/AML", "SAR/CTR Monitoring/Filing Issue" ] }, { "Institution": "Washington Federal Bank, National Association", "CharterNumber": "25073", "Company": "", "Individual": "", "Location": "Seattle, WA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "40500.00", "StartDate": "08/16/2021", "StartDocuments": [ "2021-031" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-WE-2021-28", "SubjectMatters": [ "Consumer Law", "Flood Insurance" ] }, { "Institution": "Washington Federal, National Association", "CharterNumber": "25073", "Company": "", "Individual": "", "Location": "Seattle, WA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "02/28/2018", "StartDocuments": [ "2018-019" ], "TerminationDate": "12/17/2021", "TerminationDocuments": [ "2021-058" ], "DocketNumber": "AA-WE-2018-1", "SubjectMatters": [ "BSA Independent Testing/Audit", "BSA Internal Controls", "BSA Officer", "BSA Program Violation / 12 CFR 21.21", "BSA Risk Assessment", "BSA SAR Violation / 12 CFR 21.11 or 163.180", "BSA Training", "BSA Violation Cited", "BSA/AML", "Customer/Enhanced Due Diligence (CDD/EDD)", "SAR/CTR Monitoring/Filing Issue" ] }, { "Institution": "Washington State Bank, National Association", "CharterNumber": "23709", "Company": "", "Individual": "", "Location": "Federal Way, WA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "01/03/2006", "StartDocuments": [ "2006-6" ], "TerminationDate": "09/07/2006", "TerminationDocuments": [ "2006-120" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Washington State Bank, National Association", "CharterNumber": "23709", "Company": "", "Individual": "", "Location": "Federal Way, WA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "08/12/2002", "StartDocuments": [ "2002-76" ], "TerminationDate": "09/07/2006", "TerminationDocuments": [ "2006-120" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Washington State Bank, National Association", "CharterNumber": "23709", "Company": "", "Individual": "Paula R. Vinson", "Location": "Federal Way, WA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "02/09/2009", "StartDocuments": [ "2009-031" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-08-81", "SubjectMatters": [] }, { "Institution": "Watseka First National Bank", "CharterNumber": "15022", "Company": "", "Individual": "", "Location": "Watseka, IL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2100.00", "StartDate": "08/13/1991", "StartDocuments": [ "556" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Wawel Bank", "CharterNumber": "708063", "Company": "", "Individual": "", "Location": "Wallington, NJ", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "10/26/2011", "StartDocuments": [ "2011-154" ], "TerminationDate": "03/26/2018", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Wawel Bank", "CharterNumber": "708063", "Company": "", "Individual": "", "Location": "Wallington, NJ", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "09/29/2010", "StartDocuments": [ "NE 10-24" ], "TerminationDate": "10/26/2011", "TerminationDocuments": [ "2011-154" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Wawel Bank", "CharterNumber": "708063", "Company": "", "Individual": "Robert Ranzinger", "Location": "Wallington, NJ", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "7500.00", "StartDate": "01/25/2012", "StartDocuments": [ "2012-007" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-NE-11-106", "SubjectMatters": [ "Insider Issues", "Lending Issues", "Loans to Insiders (incl. Reg O)", "Overdrafts" ] }, { "Institution": "Wawel Bank", "CharterNumber": "708063", "Company": "", "Individual": "Robert H. Ranzinger", "Location": "Garfield, NJ", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2000.00", "StartDate": "09/10/2014", "StartDocuments": [ "2014-117" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-14-80", "SubjectMatters": [ "Lending Issues", "Loans to Insiders (incl. Reg O)", "Noncompliance with Enforcement Action" ] }, { "Institution": "Wawel Bank", "CharterNumber": "708063", "Company": "", "Individual": "Henry C. Walentowicz", "Location": "Wallington, NJ", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3000.00", "StartDate": "01/25/2012", "StartDocuments": [ "2012-008" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-NE-11-107", "SubjectMatters": [ "Lending Issues", "Loans to Insiders (incl. Reg O)", "Overdrafts" ] }, { "Institution": "Wawel Bank", "CharterNumber": "708063", "Company": "", "Individual": "Jerry F. Wlodarczyk", "Location": "Wallington, NJ", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3000.00", "StartDate": "01/30/2012", "StartDocuments": [ "2012-005" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-NE-11-108", "SubjectMatters": [ "Lending Issues", "Loans to Insiders (incl. Reg O)", "Overdrafts" ] }, { "Institution": "Wcf Financial Bank", "CharterNumber": "702731", "Company": "", "Individual": "Kyle Swon", "Location": "Webster City, IA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "15000.00", "StartDate": "11/02/2017", "StartDocuments": [ "2017-095" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-WE-2017-64", "SubjectMatters": [ "Breach of Fiduciary Duty", "Insider Issues", "Lending Issues", "Loans to Insiders (incl. Reg O)" ] }, { "Institution": "Webster Bank, National Association", "CharterNumber": "24469", "Company": "", "Individual": "", "Location": "Waterbury, CT", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "125000.00", "StartDate": "01/16/2007", "StartDocuments": [ "2007-024" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-06-104", "SubjectMatters": [] }, { "Institution": "Webster Bank, National Association", "CharterNumber": "24469", "Company": "", "Individual": "James Blose", "Location": "Stamford, CT", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "05/30/2025", "StartDocuments": [ "AA-ENF-2025-37" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2025-37", "SubjectMatters": [ "Fraud/Forgery", "Insider Issues", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Webster Bank, National Association", "CharterNumber": "24469", "Company": "", "Individual": "Stephen Carbonella", "Location": "Waterbury, CT", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "12/14/2018", "StartDocuments": [ "2018-105" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-NE-2018-90", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Webster Bank, National Association", "CharterNumber": "24469", "Company": "", "Individual": "Jaime Cowles", "Location": "Waterbury, CT", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "01/11/2021", "StartDocuments": [ "2021-006" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2020-83", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "Webster Bank, National Association", "CharterNumber": "24469", "Company": "", "Individual": "Aaron Parsons", "Location": "Stamford, CT", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "02/01/2024", "StartDocuments": [ "AA-ENF-2024-06" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2024-06", "SubjectMatters": [ "Elder Abuse", "Fraud/Forgery", "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "Webster Bank, National Association", "CharterNumber": "24469", "Company": "", "Individual": "Cricel Santamaria", "Location": "Stamford, CT", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "06/25/2025", "StartDocuments": [ "AA-ENF-2025-23" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2025-23", "SubjectMatters": [ "Insider Issues", "Theft/Misappropriation of Customer Info" ] }, { "Institution": "Wellington Trust Company, National Association", "CharterNumber": "17202", "Company": "", "Individual": "", "Location": "Boston, MA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5100.00", "StartDate": "07/25/1990", "StartDocuments": [ "105" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-90-116", "SubjectMatters": [] }, { "Institution": "Wells Fargo & Company", "CharterNumber": "500017", "Company": "", "Individual": "Vilma H. Cruz", "Location": "San Francisco, CA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "04/28/2003", "StartDocuments": [ "2003-50" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Wells Fargo & Company", "CharterNumber": "500017", "Company": "", "Individual": "Julie K. Hutchinson", "Location": "San Francisco, CA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "05/06/2004", "StartDocuments": [ "2004-39" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-04-22", "SubjectMatters": [] }, { "Institution": "Wells Fargo Bank", "CharterNumber": "1741", "Company": "", "Individual": "Kristen L. Kirkman", "Location": "San Francisco, CA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "12/01/2000", "StartDocuments": [ "2000-131" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Wells Fargo Bank (Colorado), National Association", "CharterNumber": "12517", "Company": "", "Individual": "Robert W. Lewis", "Location": "Denver, CO", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "12/17/1997", "StartDocuments": [ "97-92" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-97-03", "SubjectMatters": [] }, { "Institution": "Wells Fargo Bank Arizona, National Association", "CharterNumber": "1741", "Company": "", "Individual": "Helene Cicconi", "Location": "Phoenix, AZ", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "09/05/1997", "StartDocuments": [ "97-69" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Wells Fargo Bank Of Arizona, National Association", "CharterNumber": "3728", "Company": "", "Individual": "", "Location": "Phoenix, AZ", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "01/15/1992", "StartDocuments": [ "972" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-SCP-92-04", "SubjectMatters": [] }, { "Institution": "Wells Fargo Bank, N.A.", "CharterNumber": "1741", "Company": "", "Individual": "Leilani Blueford", "Location": "San Francisco, CA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "07/12/2001", "StartDocuments": [ "2001-60" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Wells Fargo Bank, N.A.", "CharterNumber": "1741", "Company": "", "Individual": "Marcelino D. Garza", "Location": "San Francisco, CA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "08/20/2001", "StartDocuments": [ "2001-61" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Wells Fargo Bank, N.A.", "CharterNumber": "1741", "Company": "", "Individual": "Stephen A. King", "Location": "San Francisco, CA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "05/10/2000", "StartDocuments": [ "2000-42" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Wells Fargo Bank, N.A.", "CharterNumber": "1741", "Company": "", "Individual": "Stephen A. King", "Location": "San Francisco, CA", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "4753.00", "StartDate": "05/10/2000", "StartDocuments": [ "2000-42" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Wells Fargo Bank, N.A.", "CharterNumber": "12517", "Company": "", "Individual": "Robert W. Lewis", "Location": "Denver, CO", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "432695.00", "StartDate": "12/17/1997", "StartDocuments": [ "97-92" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-97-03", "SubjectMatters": [] }, { "Institution": "Wells Fargo Bank, N.A.", "CharterNumber": "12517", "Company": "", "Individual": "Robert Waldo Lewis", "Location": "Denver, CO", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "250000.00", "StartDate": "12/17/1997", "StartDocuments": [ "97-92" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-97-03", "SubjectMatters": [] }, { "Institution": "Wells Fargo Bank, N.A.", "CharterNumber": "1741", "Company": "", "Individual": "Carole McCallum", "Location": "San Francisco, CA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "07/21/1997", "StartDocuments": [ "97-44" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Wells Fargo Bank, N.A.", "CharterNumber": "1741", "Company": "", "Individual": "Ann Tran McKeith", "Location": "San Francisco, CA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "09/23/1997", "StartDocuments": [ "97-66" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Wells Fargo Bank, N.A.", "CharterNumber": "1741", "Company": "", "Individual": "Eduardo Miranda", "Location": "San Francisco, CA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "01/15/1997", "StartDocuments": [ "97-4" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Wells Fargo Bank, N.A.", "CharterNumber": "12517", "Company": "", "Individual": "Timothy E. Nelson", "Location": "Denver, CO", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "09/23/1997", "StartDocuments": [ "97-67" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Wells Fargo Bank, N.A.", "CharterNumber": "1741", "Company": "", "Individual": "Dexter Ngo", "Location": "San Francisco, CA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "05/17/1997", "StartDocuments": [ "97-31" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Wells Fargo Bank, N.A.", "CharterNumber": "1741", "Company": "", "Individual": "Veenindra Singh", "Location": "San Francisco, CA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "05/01/2000", "StartDocuments": [ "2000-44" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Wells Fargo Bank, N.A.", "CharterNumber": "1741", "Company": "", "Individual": "Veenindra Singh", "Location": "San Francisco, CA", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "8141.96", "StartDate": "05/01/2000", "StartDocuments": [ "2000-44" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Wells Fargo Bank, N.A.", "CharterNumber": "1741", "Company": "", "Individual": "Dameon Thomas", "Location": "San Francisco, CA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "01/19/2001", "StartDocuments": [ "2001-09" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Wells Fargo Bank, N.A.", "CharterNumber": "1741", "Company": "", "Individual": "Dameon Thomas", "Location": "San Francisco, CA", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "6000.00", "StartDate": "01/19/2001", "StartDocuments": [ "2001-09" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Wells Fargo Bank, N.A.", "CharterNumber": "1741", "Company": "", "Individual": "Lisa Tran", "Location": "San Francisco, CA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "03/20/1997", "StartDocuments": [ "97-16" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Wells Fargo Bank, Na", "CharterNumber": "1741", "Company": "", "Individual": "De'Lisa Barnes", "Location": "San Francisco, CA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "10/02/1997", "StartDocuments": [ "97-71" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Wells Fargo Bank, Na", "CharterNumber": "1741", "Company": "", "Individual": "De'Lisa Barnes", "Location": "San Francisco, CA", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "12000.00", "StartDate": "10/02/1997", "StartDocuments": [ "97-71" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "22863", "Company": "", "Individual": "Tamatha D. Ranvier", "Location": "Phoenix, AZ", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "08/10/2000", "StartDocuments": [ "2000-70" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "", "Location": "Sioux Falls, SD", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "09/12/2024", "StartDocuments": [ "AA-ENF-2024-72" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2024-72", "SubjectMatters": [ "BSA Independent Testing/Audit", "BSA Internal Controls", "BSA Pillar Violation / 12 CFR 21.21(d)", "BSA Risk Assessment", "BSA SAR Violation / 12 CFR 21.11 or 163.180", "BSA Violation Cited", "BSA/AML", "Customer/Enhanced Due Diligence (CDD/EDD)", "OFAC Compliance Issue", "SAR/CTR Monitoring/Filing Issue" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "", "Location": "Sioux Falls, SD", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "09/09/2021", "StartDocuments": [ "2021-035" ], "TerminationDate": "03/17/2025", "TerminationDocuments": [ "AA-ENF-2025-19" ], "DocketNumber": "AA-ENF-2021-29", "SubjectMatters": [ "Audit", "Compliance Risk Management", "Enterprise Governance / Internal Controls / General Risk Management", "Internal Audit", "Lending Issues", "Other Lending Deficiencies" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "", "Location": "Sioux Falls, SD", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "250000000.00", "StartDate": "09/09/2021", "StartDocuments": [ "2021-036" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-ENF-2021-30", "SubjectMatters": [ "Audit", "Compliance Risk Management", "Enterprise Governance / Internal Controls / General Risk Management", "Internal Audit", "Lending Issues", "Noncompliance with Enforcement Action", "Other Lending Deficiencies" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "", "Location": "Sioux Falls, SD", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "04/20/2018", "StartDocuments": [ "2018-025" ], "TerminationDate": "02/13/2025", "TerminationDocuments": [ "AA-ENF-2025-13" ], "DocketNumber": "AA-EC-2018-15", "SubjectMatters": [ "Audit", "Compensation", "Compliance Risk Management", "Consumer Law", "Golden Parachutes", "Insider Issues", "Internal Audit", "Unfair or Deceptive (UDAP)" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "", "Location": "Sioux Falls, SD", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "500000000.00", "StartDate": "04/20/2018", "StartDocuments": [ "2018-026" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2018-16", "SubjectMatters": [ "Compliance Risk Management", "Consumer Law", "Unfair or Deceptive (UDAP)" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "", "Location": "Sioux Falls, SD", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "See Order", "StartDate": "04/20/2018", "StartDocuments": [ "2018-025" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2018-15", "SubjectMatters": [ "Audit", "Compensation", "Compliance Risk Management", "Consumer Law", "Golden Parachutes", "Insider Issues", "Internal Audit", "Unfair or Deceptive (UDAP)" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "", "Location": "Sioux Falls, SD", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "09/29/2016", "StartDocuments": [ "2016-081" ], "TerminationDate": "06/18/2018", "TerminationDocuments": [ "2018-056" ], "DocketNumber": "AA-EC-2016-68", "SubjectMatters": [ "Consumer Law", "SCRA/Military Lending Act" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "", "Location": "Sioux Falls, SD", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "20000000.00", "StartDate": "09/29/2016", "StartDocuments": [ "2016-082" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [ "Consumer Law", "SCRA/Military Lending Act" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "", "Location": "Sioux Falls, SD", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "09/06/2016", "StartDocuments": [ "2016-077" ], "TerminationDate": "01/30/2024", "TerminationDocuments": [ "AA-ENF-2024-11" ], "DocketNumber": "AA-EC-2016-66", "SubjectMatters": [ "Compensation", "Enterprise Governance / Internal Controls / General Risk Management", "Fraud/Forgery", "Insider Issues", "Sales Practices" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "", "Location": "Sioux Falls, SD", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "35000000.00", "StartDate": "09/06/2016", "StartDocuments": [ "2016-079" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2016-67", "SubjectMatters": [ "Compensation", "Enterprise Governance / Internal Controls / General Risk Management", "Fraud/Forgery", "Insider Issues", "Sales Practices" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "", "Location": "Sioux Falls, SD", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "See Order", "StartDate": "09/06/2016", "StartDocuments": [ "2016-077" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2016-66", "SubjectMatters": [ "Compensation", "Enterprise Governance / Internal Controls / General Risk Management", "Fraud/Forgery", "Insider Issues", "Sales Practices" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1741", "Company": "", "Individual": "", "Location": "Sioux Falls, SD", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "70000000.00", "StartDate": "05/24/2016", "StartDocuments": [ "2016-055" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2016-30", "SubjectMatters": [ "Consumer Law", "Lending Issues", "Noncompliance with Enforcement Action", "Other Lending Deficiencies", "Unsafe or Unsound Practices (Other)" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "", "Location": "Sioux Falls, SD", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "11/19/2015", "StartDocuments": [ "2015-125" ], "TerminationDate": "01/04/2021", "TerminationDocuments": [ "2021-001" ], "DocketNumber": "AA-EC-2015-79", "SubjectMatters": [ "BSA Internal Controls", "BSA Pillar Violation / 12 CFR 21.21(d)", "BSA Risk Assessment", "BSA Training", "BSA Violation Cited", "BSA/AML", "Customer/Enhanced Due Diligence (CDD/EDD)" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "", 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"StartDocuments": [ "2015-067" ], "TerminationDate": "05/24/2016", "TerminationDocuments": [ "2016-056" ], "DocketNumber": "AA-EC-11-19", "SubjectMatters": [ "Compliance Risk Management", "Consumer Law", "Foreclosures", "Lending Issues" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "", "Location": "Sioux Falls, SD", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "06/03/2015", "StartDocuments": [ "2015-048" ], "TerminationDate": "12/03/2021", "TerminationDocuments": [ "2021-057" ], "DocketNumber": "AA-EC-2015-06", "SubjectMatters": [ "Consumer Law", "Third Party Risk Management", "Unfair or Deceptive (UDAP)" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "", "Location": "Sioux Falls, SD", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", 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"TerminationDate": "03/27/2019", "TerminationDocuments": [ "2019-016" ], "DocketNumber": "", "SubjectMatters": [ "Foreclosures", "Lending Issues" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "", "Location": "Sioux Falls, SD", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "20000000.00", "StartDate": "12/08/2011", "StartDocuments": [ "2011-175" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-11-97", "SubjectMatters": [] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "", "Location": "Sioux Falls, SD", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "12/08/2011", "StartDocuments": [ "2011-174" ], "TerminationDate": "10/08/2013", "TerminationDocuments": [ "2013-174" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "", "Location": "Sioux Falls, SD", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "04/13/2011", "StartDocuments": [ "2011-051" ], "TerminationDate": "05/24/2016", "TerminationDocuments": [ "2016-056" ], "DocketNumber": "AA-EC-11-19", "SubjectMatters": [] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1741", "Company": "", "Individual": "", "Location": "Sioux Falls, SD", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "51205.00", "StartDate": "05/08/2009", "StartDocuments": [ "2009-063" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-09-18", "SubjectMatters": [] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1741", "Company": "", "Individual": "", "Location": "Sioux Falls, SD", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "115000.00", "StartDate": "06/27/2005", "StartDocuments": [ "2005-77" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-05-43", "SubjectMatters": [] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Lisandra Abreu", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "07/29/2019", "StartDocuments": [ "2019-042" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Insider Issues", "Theft/Misappropriation of Customer Info" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Diego Acosta", "Location": "Sioux Falls, SD", "TypeCode": "1829", "TypeDescription": "1829 Prohibition Notification", "Amount": "0.00", "StartDate": "04/10/2026", "StartDocuments": [ "2026-13" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Violation Cited (Criminal Statute)" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Florencio Berardi", "Location": "Sioux Falls, SD", "TypeCode": "1829", "TypeDescription": "1829 Prohibition Notification", "Amount": "0.00", "StartDate": "01/17/2025", "StartDocuments": [ "2025-04" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Violation Cited (Criminal Statute)" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Pamela Bridges", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "02/13/2020", "StartDocuments": [ "2020-013" ], "TerminationDate": "", "TerminationDocuments": [], 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Bullock", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "10/20/2008", "StartDocuments": [ "2008-147" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-08-50", "SubjectMatters": [] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Andreliqua Cannaday", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "09/29/2019", "StartDocuments": [ "2019-063" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2019-60", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1741", "Company": "", "Individual": "Arthur D. Castillo", "Location": "San Francisco, CA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "07/08/2003", "StartDocuments": [ "2003-92" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-03-15", "SubjectMatters": [] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Katrina Caver", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "07/29/2013", "StartDocuments": [ "2013-094" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2013-38", "SubjectMatters": [ "Insider Issues", "Theft/Misappropriation of Customer Info" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Brian Davie", "Location": "Sioux Falls, SD", "TypeCode": "1829", "TypeDescription": "1829 Prohibition Notification", "Amount": "0.00", "StartDate": "04/01/2024", "StartDocuments": [ "2024-13" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Violation Cited (Criminal Statute)" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1741", "Company": "", "Individual": "Ralph J. de Keyser", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "02/20/2004", "StartDocuments": [ "2004-9" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Norman Desembrana", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "03/14/2024", "StartDocuments": [ "AA-ENF-2024-10" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2024-10", "SubjectMatters": [ "Breach of Fiduciary Duty", "Inaccurate / Incomplete / False Books and Records" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Norman Desembrana", "Location": "Sioux Falls, SD", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "40000.00", "StartDate": "03/14/2024", "StartDocuments": [ "AA-ENF-2024-10" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-ENF-2024-10", "SubjectMatters": [ "Breach of Fiduciary Duty", "Inaccurate / Incomplete / False Books and Records" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Anne-Marie Drexel", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "08/09/2017", "StartDocuments": [ "2017-068" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2017-34", "SubjectMatters": [ "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1741", "Company": "", "Individual": "Yumiko Edwards", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "11/04/2008", "StartDocuments": [ "2008-156" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-08-73", "SubjectMatters": [] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1741", "Company": "", "Individual": "Debra E. El-Feghali", "Location": "San Francisco, CA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "10/22/1996", "StartDocuments": [ "96-55" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Ahmed Elghazali", "Location": "Sioux Falls, SD", "TypeCode": "1829", "TypeDescription": "1829 Prohibition Notification", "Amount": "0.00", "StartDate": "09/11/2025", "StartDocuments": [ "2025-10" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Violation Cited (Criminal Statute)" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Vicky Escobar", "Location": "Sioux Falls, SD", "TypeCode": "1829", "TypeDescription": "1829 Prohibition Notification", "Amount": "0.00", "StartDate": "09/12/2023", "StartDocuments": [ "2023-059" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Violation Cited (Criminal Statute)" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Marily Espinosa", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "11/08/2023", "StartDocuments": [ "2023-039" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2023-43", "SubjectMatters": [ "Fraud/Forgery", "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1741", "Company": "", "Individual": "Rashel Feispor", "Location": "San Francisco, CA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "08/06/2002", "StartDocuments": [ "2002-64" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Trenton E. Feist", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "08/21/2012", "StartDocuments": [ "2012-202" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-12-103", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Luis Figueroa", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "11/08/2023", "StartDocuments": [ "AA-ENF-2023-45" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2023-45", "SubjectMatters": [ "BSA Violation Cited", "BSA/AML", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Cindy Flores", "Location": "Sioux 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"1829", "TypeDescription": "1829 Prohibition Notification", "Amount": "0.00", "StartDate": "05/23/2024", "StartDocuments": [ "2024-28" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Violation Cited (Criminal Statute)" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Bahtia Greene", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "04/16/2024", "StartDocuments": [ "AA-ENF-2024-28" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2024-28", "SubjectMatters": [ "Insider Issues", "Theft/Misappropriation of Customer Info" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Tamim Haidar", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "01/05/2026", "StartDocuments": [ "AA-ENF-2024-80" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2024-80", "SubjectMatters": [ "Fraud/Forgery", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1741", "Company": "", "Individual": "Annette Haratunian", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "09/25/2006", "StartDocuments": [ "2006-117" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-06-78", "SubjectMatters": [] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Hope Hardison", "Location": "Sioux Falls, SD", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "01/21/2020", "StartDocuments": [ "2020-002" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2019-69", "SubjectMatters": [ "Compensation", "Insider Issues", "Sales Practices" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Hope Hardison", "Location": "Sioux Falls, SD", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2250000.00", "StartDate": "01/21/2020", "StartDocuments": [ "2020-002" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2019-69", "SubjectMatters": [ "Compensation", "Insider Issues", "Sales Practices" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Arlando Henderson", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "11/08/2023", "StartDocuments": [ "2023-040" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2023-53", "SubjectMatters": [ "BSA Violation Cited", "BSA/AML", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "De'Anna Herrell", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "12/23/2024", "StartDocuments": [ "AA-ENF-2024-41" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2024-41", "SubjectMatters": [ "Fraud/Forgery", "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Carolyn Hicks", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "08/25/2025", "StartDocuments": [ "AA-ENF-2025-43" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2025-43", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Jenai J. 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Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "01/14/2025", "StartDocuments": [ "AA-EC-2019-71DO" ], "TerminationDate": "04/25/2025", "TerminationDocuments": [ "AA-EC-2019-71" ], "DocketNumber": "AA-EC-2019-71", "SubjectMatters": [ "Audit", "Compensation", "Enterprise Governance / Internal Controls / General Risk Management", "Insider Issues", "Internal Audit", "Sales Practices" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "David Julian", "Location": "Sioux Falls, SD", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "7000000.00", "StartDate": "01/14/2025", "StartDocuments": [ "AA-EC-2019-71DO" ], "TerminationDate": "04/25/2025", "TerminationDocuments": [ "AA-EC-2019-71" ], "DocketNumber": "AA-EC-2019-71", "SubjectMatters": [ "Audit", "Compensation", "Enterprise Governance / Internal Controls / General Risk Management", "Insider Issues", "Internal 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"C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "09/21/2020", "StartDocuments": [ "2020-049" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2020-52", "SubjectMatters": [ "Compensation", "Enterprise Governance / Internal Controls / General Risk Management", "Insider Issues", "Sales Practices" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Tracy Kidd", "Location": "Sioux Falls, SD", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "350000.00", "StartDate": "09/21/2020", "StartDocuments": [ "2020-049" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2020-52", "SubjectMatters": [ "Compensation", "Enterprise Governance / Internal Controls / General Risk Management", "Insider Issues", "Sales Practices" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Daksha Laxman", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "08/24/2017", "StartDocuments": [ "2017-070" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2017-38", "SubjectMatters": [ "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Alexis A. Lesko", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "09/01/2011", "StartDocuments": [ "2011-143" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-11-74", "SubjectMatters": [] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Leopoldo Lora Aguilera", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "11/08/2023", "StartDocuments": [ "2023-041" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2023-47", "SubjectMatters": [ "BSA Violation Cited", "BSA/AML", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Michael Loughlin", "Location": "Sioux Falls, SD", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "01/08/2020", "StartDocuments": [ "2020-003" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2019-86", "SubjectMatters": [ "Breach of Fiduciary Duty", "Compensation", "Enterprise Governance / Internal Controls / General Risk Management", "Insider Issues", "Sales Practices" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Michael Loughlin", "Location": "Sioux Falls, SD", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1250000.00", "StartDate": "01/08/2020", "StartDocuments": [ "2020-003" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2019-86", "SubjectMatters": [ "Breach of Fiduciary Duty", "Compensation", "Enterprise Governance / Internal Controls / General Risk Management", "Insider Issues", "Sales Practices" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Sarah Luther", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "01/06/2021", "StartDocuments": [ "2021-007" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2020-84", "SubjectMatters": [ "Insider Issues", "Theft/Misappropriation of Customer Info" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Randy Mack", "Location": "Sioux Falls, SD", "TypeCode": "1829", "TypeDescription": "1829 Prohibition Notification", "Amount": "0.00", "StartDate": "02/06/2026", "StartDocuments": [ "2026-06" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Violation Cited (Criminal Statute)" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Marcus A. Majette", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "03/16/2018", "StartDocuments": [ "2018-024" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2018-4", "SubjectMatters": [ "Fraud/Forgery", "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Paul McLinko", "Location": "Sioux Falls, SD", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "04/25/2025", "StartDocuments": [ "AA-EC-2019-72" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2019-72", "SubjectMatters": [ "Sales Practices" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Paul McLinko", "Location": "Sioux Falls, SD", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "50000.00", "StartDate": "04/25/2025", "StartDocuments": [ "AA-EC-2019-72" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2019-72", "SubjectMatters": [ "Sales Practices" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Paul McLinko", "Location": "Sioux Falls, SD", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "01/14/2025", "StartDocuments": [ "AA-EC-2019-72DO" ], "TerminationDate": "04/25/2025", "TerminationDocuments": [ "AA-EC-2019-72" ], "DocketNumber": "AA-EC-2019-72", "SubjectMatters": [ "Audit", "Enterprise Governance / Internal Controls / General Risk Management", "Internal Audit", "Sales Practices" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Paul McLinko", "Location": "Sioux Falls, SD", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1500000.00", "StartDate": "01/14/2025", "StartDocuments": [ "AA-EC-2019-72DO" ], "TerminationDate": "04/25/2025", "TerminationDocuments": [ "AA-EC-2019-72" ], "DocketNumber": "AA-EC-2019-72", "SubjectMatters": [ "Audit", "Enterprise Governance / Internal Controls / General Risk Management", "Internal Audit", "Sales Practices" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Paul McLinko", "Location": "Sioux Falls, SD", "TypeCode": "Notice", "TypeDescription": "Notice of Charges", "Amount": "0.00", "StartDate": "01/23/2020", "StartDocuments": [ "N20-001" ], "TerminationDate": "01/14/2025", "TerminationDocuments": [ "AA-EC-2019-72", "AA-EC-2019-72DO" ], "DocketNumber": "AA-EC-2019-72", "SubjectMatters": [ "Breach of Fiduciary Duty", "Compensation", "Consumer Law", "False Statements / Obstruction", "Fraud/Forgery", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Sales Practices", "Theft / Misappropriation of Funds", "Theft/Misappropriation of Customer Info", "Unfair or Deceptive (UDAP)", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Kimberly Mertz", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "05/16/2019", "StartDocuments": [ "2019-026" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2018-48", "SubjectMatters": [ "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Austen C. Middick", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "09/10/2018", "StartDocuments": [ "2018-074" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2018-46", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Chimere Mitchell", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "01/31/2024", "StartDocuments": [ "AA-ENF-2024-09" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2024-09", "SubjectMatters": [ "Elder Abuse", "Insider Issues", "Theft/Misappropriation of Customer Info" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Emily Niedwiecky", "Location": "Sioux Falls, SD", "TypeCode": "Notice", "TypeDescription": "Notice of Charges", "Amount": "0.00", "StartDate": "11/21/2024", "StartDocuments": [ "AA-ENF-2024-30N" ], "TerminationDate": "09/26/2025", "TerminationDocuments": [ "AA-ENF-2024-30T" ], "DocketNumber": "AA-ENF-2024-30", "SubjectMatters": [ "Fraud/Forgery", "Insider Issues", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1741", "Company": "", "Individual": "Erin L. Novak", "Location": "Sioux Falls, SD", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "08/13/2008", "StartDocuments": [ "2008-101" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-08-51", "SubjectMatters": [] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Cheraye C. Parnell", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "01/16/2019", "StartDocuments": [ "2019-003" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2017-60", "SubjectMatters": [ "Insider Issues", "Theft/Misappropriation of Customer Info" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1741", "Company": "", "Individual": "Dennis Shane Poulsen", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "11/15/2004", "StartDocuments": [ "2004-136" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-04-21", "SubjectMatters": [] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Khalidah Purvis", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "03/03/2020", "StartDocuments": [ "2020-018" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2019-75", "SubjectMatters": [ "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Matthew Raphaelson", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "09/21/2020", "StartDocuments": [ "2020-051" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2020-53", "SubjectMatters": [ "Compensation", "Enterprise Governance / Internal Controls / General Risk Management", "Insider Issues", "Sales Practices" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Matthew Raphaelson", "Location": "Sioux Falls, SD", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "925000.00", "StartDate": "09/21/2020", "StartDocuments": [ "2020-051" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2020-53", "SubjectMatters": [ "Compensation", "Enterprise Governance / Internal Controls / General Risk Management", "Insider Issues", "Sales Practices" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Stephen Reyna", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "11/08/2023", "StartDocuments": [ "AA-ENF-2023-52" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2023-52", "SubjectMatters": [ "BSA Violation Cited", "BSA/AML", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Walther Riano-Vanegas", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "08/08/2025", "StartDocuments": [ "AA-ENF-2025-40" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2025-40", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Ginger Riley", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "02/21/2019", "StartDocuments": [ "2019-012" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2019-6", "SubjectMatters": [ "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Jenice Rivera", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "07/10/2018", "StartDocuments": [ "2018-066" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2018-35", "SubjectMatters": [ "Insider Issues", "Theft/Misappropriation of Customer Info" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Mario Rivero", "Location": "Sioux Falls, SD", "TypeCode": "1829", "TypeDescription": "1829 Prohibition Notification", "Amount": "0.00", "StartDate": "05/16/2025", "StartDocuments": [ "2025-09" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Violation Cited (Criminal Statute)" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Yesenia Rodriguez", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "06/21/2023", "StartDocuments": [ "2023-017" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2023-16", "SubjectMatters": [ "Fraud/Forgery", "Insider Issues", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Marco Rodriguez Arango", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "11/21/2023", "StartDocuments": [ "2023-042" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2023-54", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Sara Roman", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "11/03/2020", "StartDocuments": [ "2020-076" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2020-11", "SubjectMatters": [ "Fraud/Forgery", "Insider Issues", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Sara Roman", "Location": "Sioux Falls, SD", "TypeCode": "Notice", "TypeDescription": "Notice of Charges", "Amount": "0.00", "StartDate": "03/06/2020", "StartDocuments": [ "N20-004" ], "TerminationDate": "11/03/2020", "TerminationDocuments": [ "2020-076" ], "DocketNumber": "AA-EC-2020-11", "SubjectMatters": [ "Fraud/Forgery", "Insider Issues", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Claudia Russ Anderson", "Location": "Sioux Falls, SD", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "10/22/2025", "StartDocuments": [ "AA-EC-2019-81" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2019-81", "SubjectMatters": [ "Sales Practices" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Claudia Russ Anderson", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "01/14/2025", "StartDocuments": [ "AA-EC-2019-81DO" ], "TerminationDate": "10/22/2025", "TerminationDocuments": [ "AA-EC-2019-81" ], "DocketNumber": "AA-EC-2019-81", "SubjectMatters": [ "Compensation", "Enterprise Governance / Internal Controls / General Risk Management", "False Statements / Obstruction", "Insider Issues", "Sales Practices", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Claudia Russ Anderson", "Location": "Sioux Falls, SD", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000000.00", "StartDate": "01/14/2025", "StartDocuments": [ "AA-EC-2019-81DO" ], "TerminationDate": "10/22/2025", "TerminationDocuments": [ "AA-EC-2019-81" ], "DocketNumber": "AA-EC-2019-81", "SubjectMatters": [ "Compensation", "Enterprise Governance / Internal Controls / General Risk Management", "False Statements / Obstruction", "Insider Issues", "Sales Practices", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Claudia Russ Anderson", "Location": "Sioux Falls, SD", "TypeCode": "Notice", "TypeDescription": "Notice of Charges", "Amount": "0.00", "StartDate": "01/23/2020", "StartDocuments": [ "N20-001" ], "TerminationDate": "01/14/2025", "TerminationDocuments": [ "AA-EC-2019-81", "AA-EC-2019-81DO" ], "DocketNumber": "AA-EC-2019-81", "SubjectMatters": [ "Breach of Fiduciary Duty", "Compensation", "Consumer Law", "False Statements / Obstruction", "Fraud/Forgery", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Sales Practices", "Theft / Misappropriation of Funds", "Theft/Misappropriation of Customer Info", "Unfair or Deceptive (UDAP)", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Jasmine Salomon", "Location": "Sioux Falls, SD", "TypeCode": "1829", "TypeDescription": "1829 Prohibition Notification", "Amount": "0.00", "StartDate": "12/19/2024", "StartDocuments": [ "2024-41" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Violation Cited (Criminal Statute)" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Teanna Smith", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "08/28/2019", "StartDocuments": [ "2019-048" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2019-33", "SubjectMatters": [ "Insider Issues", "Theft/Misappropriation of Customer Info" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1741", "Company": "", "Individual": "Wendi Smith-Kirk", "Location": "San Francisco, CA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "12/12/2003", "StartDocuments": [ "2003-157" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "James Strother", "Location": "Sioux Falls, SD", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "01/13/2021", "StartDocuments": [ "2021-002" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2019-70", "SubjectMatters": [] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "James Strother", "Location": "Sioux Falls, SD", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3500000.00", "StartDate": "01/13/2021", "StartDocuments": [ "2021-002" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2019-70", "SubjectMatters": [] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "James Strother", "Location": "Sioux Falls, SD", "TypeCode": "Notice", "TypeDescription": "Notice of Charges", "Amount": "0.00", "StartDate": "01/23/2020", "StartDocuments": [ "N20-001" ], "TerminationDate": "01/13/2021", "TerminationDocuments": [ "2021-002", "AA-EC-2019-70T" ], "DocketNumber": "AA-EC-2019-70", "SubjectMatters": [ "Breach of Fiduciary Duty", "Compensation", "Consumer Law", "False Statements / Obstruction", "Fraud/Forgery", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Sales Practices", "Theft / Misappropriation of Funds", "Theft/Misappropriation of Customer Info", "Unfair or Deceptive (UDAP)", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "John Stumpf", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "01/22/2020", "StartDocuments": [ "2020-004" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2019-83", "SubjectMatters": [ "Breach of Fiduciary Duty", "Enterprise Governance / Internal Controls / General Risk Management", "Sales Practices" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "John Stumpf", "Location": "Sioux Falls, SD", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "17500000.00", "StartDate": "01/22/2020", "StartDocuments": [ "2020-004" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2019-83", "SubjectMatters": [ "Breach of Fiduciary Duty", "Enterprise Governance / Internal Controls / General Risk Management", "Sales Practices" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Shawna L. Swain", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "09/07/2017", "StartDocuments": [ "2017-081" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2017-31", "SubjectMatters": [ "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Nyema'sha Taylor", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "01/09/2024", "StartDocuments": [ "AA-ENF-2021-23D", "AA-ENF-2021-23O" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2021-23", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Nyema'sha Taylor", "Location": "Sioux Falls, SD", "TypeCode": "Notice", "TypeDescription": "Notice of Charges", "Amount": "0.00", "StartDate": "05/30/2023", "StartDocuments": [ "N23-001" ], "TerminationDate": "01/09/2024", "TerminationDocuments": [ "AA-ENF-2021-23D", "AA-ENF-2021-23O" ], "DocketNumber": "AA-ENF-2021-23", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Nevada Thomas", "Location": "Sioux Falls, SD", "TypeCode": "1829", "TypeDescription": "1829 Prohibition Notification", "Amount": "0.00", "StartDate": "10/15/2025", "StartDocuments": [ "2025-11" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Violation Cited (Criminal Statute)" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Ulyssia Thompson", "Location": "Sioux Falls, SD", "TypeCode": "1829", "TypeDescription": "1829 Prohibition Notification", "Amount": "0.00", "StartDate": "10/24/2024", "StartDocuments": [ "2024-38" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Violation Cited (Criminal Statute)" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Carrie Tolstedt", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "03/09/2023", "StartDocuments": [ "2023-005" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2019-82", "SubjectMatters": [] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Carrie Tolstedt", "Location": "Sioux Falls, SD", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "17000000.00", "StartDate": "03/09/2023", "StartDocuments": [ "2023-005" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2019-82", "SubjectMatters": [] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Carrie Tolstedt", "Location": "Sioux Falls, SD", "TypeCode": "Notice", "TypeDescription": "Notice of Charges", "Amount": "0.00", "StartDate": "01/23/2020", "StartDocuments": [ "N20-001" ], "TerminationDate": "03/09/2023", "TerminationDocuments": [ "2023-005", "AA-EC-2019-82T" ], "DocketNumber": "AA-EC-2019-82", "SubjectMatters": [ "Breach of Fiduciary Duty", "Compensation", "Consumer Law", "False Statements / Obstruction", "Fraud/Forgery", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Sales Practices", "Theft / Misappropriation of Funds", "Theft/Misappropriation of Customer Info", "Unfair or Deceptive (UDAP)", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1741", "Company": "", "Individual": "Joaquin Trejo", "Location": "San Francisco, CA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "07/10/2006", "StartDocuments": [ "2006-93" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-06-65", "SubjectMatters": [] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Carlos Vasquez", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "11/08/2023", "StartDocuments": [ "2023-043" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2023-46", "SubjectMatters": [ "BSA Violation Cited", "BSA/AML", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1741", "Company": "", "Individual": "Norma Vazquez", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "03/07/2008", "StartDocuments": [ "2008-022" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-07-21", "SubjectMatters": [] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "David Welty", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "02/10/2020", "StartDocuments": [ "2020-016" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2020-2", "SubjectMatters": [ "Fraud/Forgery", "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1741", "Company": "", "Individual": "Jessica A. White", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "09/10/2009", "StartDocuments": [ "2009-162" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-09-50", "SubjectMatters": [] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Kenneth Zimmerman", "Location": "Sioux Falls, SD", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "09/21/2020", "StartDocuments": [ "2020-050" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2020-54", "SubjectMatters": [ "Compensation", "Enterprise Governance / Internal Controls / General Risk Management", "Insider Issues", "Sales Practices" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Kenneth Zimmerman", "Location": "Sioux Falls, SD", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "400000.00", "StartDate": "09/21/2020", "StartDocuments": [ "2020-050" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2020-54", "SubjectMatters": [ "Compensation", "Enterprise Governance / Internal Controls / General Risk Management", "Insider Issues", "Sales Practices" ] }, { "Institution": "West Columbia National Bank", "CharterNumber": "15015", "Company": "", "Individual": "Michael V. Neff", "Location": "West Columbia, TX", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "01/06/1994", "StartDocuments": [ "94-100" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EA-93-123", "SubjectMatters": [] }, { "Institution": "West Texas National Bank", "CharterNumber": "24185", "Company": "", "Individual": "", "Location": "Midland, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3600.00", "StartDate": "01/07/2008", "StartDocuments": [ "2008-002" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-SO-07-81", "SubjectMatters": [] }, { "Institution": "West Valley National Bank", "CharterNumber": "24683", "Company": "", "Individual": "", "Location": "Goodyear, AZ", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "03/29/2021", "StartDocuments": [ "2021-014" ], "TerminationDate": "07/25/2024", "TerminationDocuments": [ "AA-WE-2024-73" ], "DocketNumber": "AA-WE-2021-12", "SubjectMatters": [ "Board / Management Oversight", "BSA Independent Testing/Audit", "BSA Internal Controls", "BSA Officer", "BSA Risk Assessment", "BSA/AML", "Capital", "Concentration Risk Management", "Customer/Enhanced Due Diligence (CDD/EDD)", "Lending Issues", "Strategic Planning" ] }, { "Institution": "Westbury Bank", "CharterNumber": "717893", "Company": "", "Individual": "", "Location": "West Bend, WI", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "10/29/2012", "StartDocuments": [ "2012-254" ], "TerminationDate": "12/24/2013", "TerminationDocuments": [ "2013-217" ], "DocketNumber": "", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Appraisals", "Asset Quality", "Board / Management Oversight", "Capital", "Concentration Risk Management", "Credit/Collateral Exceptions", "Lending Issues", "Other Lending Deficiencies", "Problem Loan Identification" ] }, { "Institution": "Western American National Bank", "CharterNumber": "17620", "Company": "", "Individual": "", "Location": "Bedford, TX", "TypeCode": "PCAD", "TypeDescription": "Prompt Corrective Action (PCA) Directive", "Amount": "0.00", "StartDate": "04/06/1998", "StartDocuments": [ "98-20" ], "TerminationDate": "01/11/2000", "TerminationDocuments": [ "2000-14" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Western American National Bank", "CharterNumber": "17620", "Company": "", "Individual": "", "Location": "Bedford, TX", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "11/30/1992", "StartDocuments": [ "754" ], "TerminationDate": "09/03/1993", "TerminationDocuments": [ "93-241" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Western American National Bank", "CharterNumber": "17620", "Company": "", "Individual": "", "Location": "Bedford, TX", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "01/29/1991", "StartDocuments": [ "163" ], "TerminationDate": "11/30/1992", "TerminationDocuments": [ "754" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Western American National Bank", "CharterNumber": "17620", "Company": "", "Individual": "Tom N. Bransford", "Location": "Bedford, TX", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "11/17/1999", "StartDocuments": [ "99-86" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Western American National Bank", "CharterNumber": "17620", "Company": "", "Individual": "Tom N. Bransford", "Location": "Bedford, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "50000.00", "StartDate": "11/17/1999", "StartDocuments": [ "99-86" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-98-20", "SubjectMatters": [] }, { "Institution": "Western American National Bank", "CharterNumber": "17620", "Company": "", "Individual": "Tom N. Bransford", "Location": "Bedford, TX", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "250000.00", "StartDate": "11/17/1999", "StartDocuments": [ "99-86" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Western American National Bank", "CharterNumber": "17620", "Company": "", "Individual": "R. Scott Wheeler", "Location": "Bedford, TX", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "09/20/1999", "StartDocuments": [ "99-87" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Western American National Bank", "CharterNumber": "17620", "Company": "", "Individual": "R. Scott Wheeler", "Location": "Bedford, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "50000.00", "StartDate": "09/20/1999", "StartDocuments": [ "99-87" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-98-22", "SubjectMatters": [] }, { "Institution": "Western American National Bank", "CharterNumber": "17620", "Company": "", "Individual": "Richard O. Wheeler", "Location": "Bedford, TX", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "11/17/1999", "StartDocuments": [ "99-85" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-98-20", "SubjectMatters": [] }, { "Institution": "Western American National Bank", "CharterNumber": "17620", "Company": "", "Individual": "Richard O. Wheeler", "Location": "Bedford, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "150000.00", "StartDate": "11/17/1999", "StartDocuments": [ "99-85" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Western American National Bank", "CharterNumber": "17620", "Company": "", "Individual": "Richard O. Wheeler", "Location": "Bedford, TX", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "1000000.00", "StartDate": "11/17/1999", "StartDocuments": [ "99-85" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Western Family National Bank", "CharterNumber": "17730", "Company": "", "Individual": "", "Location": "Carlsbad, CA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "03/15/1994", "StartDocuments": [ "94-27" ], "TerminationDate": "08/31/1994", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Western Family National Bank", "CharterNumber": "17730", "Company": "", "Individual": "", "Location": "Carlsbad, CA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "12/02/1993", "StartDocuments": [ "93-306" ], "TerminationDate": "03/15/1994", "TerminationDocuments": [ "94-27" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Western Family National Bank", "CharterNumber": "17730", "Company": "", "Individual": "", "Location": "Carlsbad, CA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "03/23/1993", "StartDocuments": [ "93-70" ], "TerminationDate": "03/15/1994", "TerminationDocuments": [ "94-27" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Western Family National Bank", "CharterNumber": "17730", "Company": "", "Individual": "Jeffrey W. Gearheart", "Location": "Carlsbad, CA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "01/10/1995", "StartDocuments": [ "94-205" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-94-46", "SubjectMatters": [] }, { "Institution": "Western Family National Bank", "CharterNumber": "17730", "Company": "", "Individual": "Jeffrey W. Gearheart", "Location": "Carlsbad, CA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2000.00", "StartDate": "01/10/1995", "StartDocuments": [ "94-205" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-94-45", "SubjectMatters": [] }, { "Institution": "Western Family National Bank", "CharterNumber": "17730", "Company": "", "Individual": "Joanne S. McMahan", "Location": "Carlsbad, CA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "11/17/1994", "StartDocuments": [ "94-180" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-94-49", "SubjectMatters": [] }, { "Institution": "Western Family National Bank", "CharterNumber": "17730", "Company": "", "Individual": "Joanne S. McMahan", "Location": "Carlsbad, CA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2000.00", "StartDate": "11/17/1994", "StartDocuments": [ "94-180" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-94-50", "SubjectMatters": [] }, { "Institution": "Western Family National Bank", "CharterNumber": "17730", "Company": "", "Individual": "R. Roderick McMahan", "Location": "Carlsbad, CA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "11/17/1994", "StartDocuments": [ "94-181" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-94-47", "SubjectMatters": [] }, { "Institution": "Western Family National Bank", "CharterNumber": "17730", "Company": "", "Individual": "R. Roderick McMahan", "Location": "Carlsbad, CA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3000.00", "StartDate": "11/17/1994", "StartDocuments": [ "94-181" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-94-48", "SubjectMatters": [] }, { "Institution": "Western Family National Bank", "CharterNumber": "17730", "Company": "", "Individual": "Richard A. 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Roberts", "Location": "Carlsbad, CA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1000.00", "StartDate": "01/10/1995", "StartDocuments": [ "94-206" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-94-51", "SubjectMatters": [] }, { "Institution": "Western Family National Bank", "CharterNumber": "17730", "Company": "", "Individual": "Bob R. Sanford", "Location": "Carlsbad, CA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "01/10/1995", "StartDocuments": [ "94-207" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-94-52", "SubjectMatters": [] }, { "Institution": "Western Family National Bank", "CharterNumber": "17730", "Company": "", "Individual": "Bob R. 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Bunten", "Location": "Lenexa, KS", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "02/28/2005", "StartDocuments": [ "2005-21" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Western National Bank Of Colorado Springs", "CharterNumber": "15383", "Company": "", "Individual": "", "Location": "Colorado Springs, CO", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "09/24/1991", "StartDocuments": [ "936" ], "TerminationDate": "07/15/1992", "TerminationDocuments": [ "951" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Western Security Bank, N.A.", "CharterNumber": "21472", "Company": "", "Individual": "", "Location": "Burbank, CA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "03/12/1992", "StartDocuments": [ "529" ], "TerminationDate": "09/14/1993", "TerminationDocuments": [ "93-232" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Western Springs National Bank And Trust", "CharterNumber": "15346", "Company": "", "Individual": "", "Location": "Western Springs, IL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "08/18/1992", "StartDocuments": [ "703" ], "TerminationDate": "01/23/1995", "TerminationDocuments": [ "95-116" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Western Springs National Bank and Trust", "CharterNumber": "15346", "Company": "", "Individual": "", "Location": "Western Springs, IL", "TypeCode": "PCAD", "TypeDescription": "Prompt Corrective Action (PCA) Directive", "Amount": "0.00", "StartDate": "11/18/2010", "StartDocuments": [ "2010-231" ], "TerminationDate": "04/08/2011", "TerminationDocuments": [], "DocketNumber": "AA-EC-10-122", "SubjectMatters": [] }, { "Institution": "Western Springs National Bank and Trust", "CharterNumber": "15346", "Company": "", "Individual": "", "Location": "Western Springs, IL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "11/19/2009", "StartDocuments": [ "2009-188" ], "TerminationDate": "04/08/2011", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Western Springs National Bank and Trust", "CharterNumber": "15346", "Company": "", "Individual": "Jerry F. Miceli", "Location": "Western Springs, IL", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "03/13/2013", "StartDocuments": [ "2013-026" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Breach of Fiduciary Duty", "Fraud/Forgery", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Lending Issues", "Other Lending Deficiencies", "Problem Loan Identification" ] }, { "Institution": "Western Springs National Bank and Trust", "CharterNumber": "15346", "Company": "", "Individual": "Jerry F. Miceli", "Location": "Western Springs, IL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "75000.00", "StartDate": "03/13/2013", "StartDocuments": [ "2013-026" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [ "Breach of Fiduciary Duty", "Fraud/Forgery", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Lending Issues", "Other Lending Deficiencies", "Problem Loan Identification" ] }, { "Institution": "Western Springs National Bank and Trust", "CharterNumber": "15346", "Company": "", "Individual": "Allyson Regas", "Location": "Western Springs, IL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000.00", "StartDate": "10/11/2012", "StartDocuments": [ "2012-233" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-12-83", "SubjectMatters": [ "Breach of Fiduciary Duty", "Inaccurate / Incomplete / False Books and Records", "Lending Issues", "Loans to Insiders (incl. Reg O)", "Violation Cited (Other)" ] }, { "Institution": "Western Springs National Bank and Trust", "CharterNumber": "15346", "Company": "", "Individual": "James A. Regas", "Location": "Western Springs, IL", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "03/13/2013", "StartDocuments": [ "2013-027" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Breach of Fiduciary Duty", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Lending Issues", "Loans to Insiders (incl. Reg O)", "Other Lending Deficiencies", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Western Springs National Bank and Trust", "CharterNumber": "15346", "Company": "", "Individual": "James A. Regas", "Location": "Western Springs, IL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "250000.00", "StartDate": "03/13/2013", "StartDocuments": [ "2013-027" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [ "Breach of Fiduciary Duty", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Lending Issues", "Loans to Insiders (incl. Reg O)", "Other Lending Deficiencies", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Western Springs National Bank and Trust", "CharterNumber": "15346", "Company": "", "Individual": "James A. Regas", "Location": "Western Springs, IL", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "681617.00", "StartDate": "03/13/2013", "StartDocuments": [ "2013-027" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Breach of Fiduciary Duty", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Lending Issues", "Loans to Insiders (incl. Reg O)", "Other Lending Deficiencies", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Western United National Bank", "CharterNumber": "17897", "Company": "", "Individual": "", "Location": "Los Angeles, CA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "01/22/1993", "StartDocuments": [ "93-9" ], "TerminationDate": "09/24/1993", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Westfield Bank", "CharterNumber": "717968", "Company": "", "Individual": "", "Location": "Westfield, MA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "04/28/2011", "StartDocuments": [ "NE 11-20" ], "TerminationDate": "06/26/2012", "TerminationDocuments": [ "2012-177" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Westfield Bank, FSB", "CharterNumber": "716697", "Company": "", "Individual": "Daniel Minick", "Location": "Westfield Center, OH", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "02/15/2017", "StartDocuments": [ "2017-016" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2016-70", "SubjectMatters": [ "Fraud/Forgery", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Lending Issues", "Other Lending Deficiencies" ] }, { "Institution": "Westfield Bank, FSB", "CharterNumber": "716697", "Company": "", "Individual": "Daniel Minick", "Location": "Westfield Center, OH", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "02/15/2017", "StartDocuments": [ "2017-016" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2016-70", "SubjectMatters": [ "Fraud/Forgery", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Lending Issues", "Other Lending Deficiencies" ] }, { "Institution": "Westfield Bank, FSB", "CharterNumber": "716697", "Company": "", "Individual": "Matthew Sprang", "Location": "Westfield Center, OH", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "11/21/2022", "StartDocuments": [ "2022-059" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-CE-2022-49", "SubjectMatters": [ "Credit/Collateral Exceptions", "Inaccurate / Incomplete / False Books and Records", "Lending Issues", "Other Lending Deficiencies" ] }, { "Institution": "Westfield Bank, FSB", "CharterNumber": "716697", "Company": "", "Individual": "Matthew Sprang", "Location": "Westfield Center, OH", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "15000.00", "StartDate": "11/21/2022", "StartDocuments": [ "2022-059" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-CE-2022-49", "SubjectMatters": [ "Credit/Collateral Exceptions", "Inaccurate / Incomplete / False Books and Records", "Lending Issues", "Other Lending Deficiencies" ] }, { "Institution": "Westheimer Memorial Bank, N.A.", "CharterNumber": "18379", "Company": "", "Individual": "Allen R. 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McClaugherty", "Location": "San Antonio, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000.00", "StartDate": "03/04/1991", "StartDocuments": [ "546" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Wheeling National Bank", "CharterNumber": "16696", "Company": "", "Individual": "", "Location": "Wheeling, WV", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "03/04/1992", "StartDocuments": [ "499" ], "TerminationDate": "08/12/1993", "TerminationDocuments": [ "93-227" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Whitaker Bank, National Association", "CharterNumber": "22246", "Company": "", "Individual": "Wallace Warfield", "Location": "Lexington, KY", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "04/01/2003", "StartDocuments": [ "2003-116" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Whitaker Bank, National Association", "CharterNumber": "22246", "Company": "", "Individual": "Wallace Warfield", "Location": "Lexington, KY", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "See Order", "StartDate": "04/01/2003", "StartDocuments": [ "2003-116" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Whitaker Bank, National Association", "CharterNumber": "22246", "Company": "", "Individual": "Elmer Whitaker", "Location": "Lexington, KY", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "04/01/2003", "StartDocuments": [ "2003-117" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Whitaker Bank, National Association", "CharterNumber": "22246", "Company": "", "Individual": "Elmer Whitaker", "Location": "Lexington, KY", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "See Order", "StartDate": "04/01/2003", "StartDocuments": [ "2003-117" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Whitaker Bank, National Association", "CharterNumber": "22246", "Company": "", "Individual": "Jack Whitaker", "Location": "Lexington, KY", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "04/01/2003", "StartDocuments": [ "2003-118" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Whitaker Bank, National Association", "CharterNumber": "22246", "Company": "", "Individual": "Jack Whitaker", "Location": "Lexington, KY", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "See Order", "StartDate": "04/01/2003", "StartDocuments": [ "2003-118" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "White Hall National Bank", "CharterNumber": "7077", "Company": "", "Individual": "", "Location": "White Hall, IL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "12/18/2000", "StartDocuments": [ "2000-112" ], "TerminationDate": "02/28/2003", "TerminationDocuments": [ "2003-30" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Whitney National Bank", "CharterNumber": "14977", "Company": "", "Individual": "", "Location": "New Orleans, LA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "02/12/2010", "StartDocuments": [ "2010-014" ], "TerminationDate": "06/04/2011", "TerminationDocuments": [], "DocketNumber": "AA-EC-09-114", "SubjectMatters": [] }, { "Institution": "Whitney National Bank", "CharterNumber": "14977", "Company": "", "Individual": "", "Location": "New Orleans, LA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "125000.00", "StartDate": "02/12/2010", "StartDocuments": [ "2010-013" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-09-113", "SubjectMatters": [] }, { "Institution": "Whitney National Bank", "CharterNumber": "14977", "Company": "", "Individual": "Charles D. 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