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"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": "Lowrey, Austin", "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": "Anzalone, Jono", "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": "Anzalone, Jono", "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": "Marvin, Kevin", "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": "McKinsey, Shaun L.", "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": "McKinsey, Shaun L.", "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": "Stevenson, Robert", "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": "McKinney, Donald", "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": "McKinney, Donald K.", "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": "Gaddis, Stephen G.", "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": "Lanier, Jerry L.", "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": "Pritchard, Jim L.", "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": "Jones, Peter C.", "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": "Keyes, Robert E.", "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": "Lee, Brian P.", "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": "McFarland, Timothy J.", "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": "McKay, Carol", "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": "Rethwisch, Tracy", "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": "Dodge, Lawrence Keith", "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)" ] }, { 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"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": "Lindeman, Jon R.", "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": "Lindeman, Jon R.", "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": "Lindeman, Jon R.", "Location": "Albert Lea, MN", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000.00", "StartDate": "02/01/2004", "StartDocuments": [ "2004-3" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Ameritrust Company National Association", "CharterNumber": "18024", "Company": "", "Individual": "", "Location": "Cleveland, OH", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000.00", "StartDate": "01/17/1992", "StartDocuments": [ "994" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-SCP-92-04", "SubjectMatters": [] }, { "Institution": "Ameritrust Company National Association", "CharterNumber": "18024", "Company": "", "Individual": "", "Location": "Cleveland, OH", "TypeCode": "SEC", "TypeDescription": "Securities Enforcement Action", "Amount": "0.00", "StartDate": "01/17/1992", "StartDocuments": [ "994" ], "TerminationDate": "07/13/1992", "TerminationDocuments": [], "DocketNumber": "AA-SCP-92-04", "SubjectMatters": [] }, { "Institution": "Amfirst Bank, National Association", "CharterNumber": "8031", "Company": "", "Individual": "", "Location": "McCook, NE", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "12/15/2010", "StartDocuments": [ "2010-247" ], "TerminationDate": "02/20/2013", "TerminationDocuments": [ "2013-019" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Amory FS & LA", "CharterNumber": "702674", "Company": "", "Individual": "", "Location": "Amory, MS", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "03/22/2021", "StartDocuments": [ "2021-016" ], 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}, { "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": "Fitzgerald, Barry W.", "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": "DeWitt, Larry", "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": "Heaton, Derek", "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": "Keller, David E.", "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": "Keller, David E.", "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": "Freitag, F. Louis", "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": "Freitag, F. Louis", "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": "Donoso, Hernan", "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": "Donoso, Hernan", "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": "Alegria, Jose E.", "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": "Alegria, Jose E.", "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": "Conde, Carlos", "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": "Conde, Carlos", "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": "Morris, John", "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": "Morris-Coll, John Alexander", "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": "Maymi, Guido U.", "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": "LoCash, Michael", "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": "Peterson, Michael", "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": "Cia, Brian C.", "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": "Dagnino, Daniel 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"TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Bank of America Corporation", "CharterNumber": "500610", "Company": "", "Individual": "Maxwell, Aja Simone", "Location": "Charlotte, NC", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "03/15/2004", "StartDocuments": [ "2004-26" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-22-03", "SubjectMatters": [] }, { "Institution": "Bank of America Corporation", "CharterNumber": "500610", "Company": "", "Individual": "Maxwell, Aja Simone", "Location": "Charlotte, NC", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "1200.00", "StartDate": "03/15/2004", "StartDocuments": [ "2004-26" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Bank Of America National Trust & Savings Association", "CharterNumber": "13044", "Company": "", "Individual": "McRoyal, Shonn", "Location": "San Francisco, CA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "11/08/1997", "StartDocuments": [ "97-86" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Bank Of America National Trust And Savings Associatio", "CharterNumber": "13044", "Company": "", "Individual": "Villanueva, William G.", "Location": "San Francisco, CA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "03/28/2000", "StartDocuments": [ "2000-41" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Bank Of America Nt & Sa", "CharterNumber": "13044", "Company": "", "Individual": "Blanks, Danielle Sheree", "Location": "San Francisco, CA", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", 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"CharterNumber": "20879", "Company": "", "Individual": "Hardesty, Robert G.", "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": "Karem, Robert", "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": "Lapino, Raymond", "Location": "Kenner, LA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": 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"SubjectMatters": [] }, { "Institution": "Bankers Trust Of Louisiana, N.A.", "CharterNumber": "20879", "Company": "", "Individual": "Silverstein, Irl", "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": "Thomason, H.Allen", "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": "Collins-Lancaster, Patricia", "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": "Pareto, Stanley E.", "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": "Pareto, Stanley E.", "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": "Hill, Kaye G.", "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": "Miller, Courtney Leigh", "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": "Folkers, Stacy", "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": "Folkers, Stacy", "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": "Jurun, Nicholas L.", "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": "Jurun, Nicholas L.", "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": "Perry, Timothy", "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": "Perry, Timothy", "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": "Shara, Michael", "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": "Shara, Michael", "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": "Wettstein, Jeffrey", "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": "Wettstein, Jeffrey", "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": "Moreland, Victoria P.", "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": "Hakes, Donald W.", "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": "Saei, Michael", "Location": "San Mateo, CA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000.00", "StartDate": "04/10/2002", "StartDocuments": [ "2002-34" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": 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"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": "05/18/2006", "StartDocuments": [ "2006-47" ], "TerminationDate": "07/09/2009", "TerminationDocuments": [ "2009-103" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Beach First National Bank", "CharterNumber": "22995", "Company": "", "Individual": "", "Location": "Myrtle Beach, SC", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "11/04/2009", "StartDocuments": [ "2009-190" ], "TerminationDate": "04/09/2010", "TerminationDocuments": [], "DocketNumber": "AA-EC-09-73", "SubjectMatters": [] }, { "Institution": "Beach First National Bank", "CharterNumber": "22995", "Company": "", "Individual": "", "Location": "Myrtle Beach, SC", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "09/30/2008", "StartDocuments": [ "2008-142" ], "TerminationDate": "11/04/2009", "TerminationDocuments": [ "2009-190" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Beacon Business Bank, National Association", "CharterNumber": "18358", "Company": "", "Individual": "", "Location": "San Francisco, CA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "12/31/2018", "StartDocuments": [ "2018-104" ], "TerminationDate": "02/12/2024", "TerminationDocuments": [ "AA-WE-2023-76" ], "DocketNumber": "AA-WE-2018-67", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Asset Quality", "Audit", "Capital", "Compensation", "Concentration Risk Management", "Credit/Collateral Exceptions", "Enterprise Governance / Internal Controls / General Risk Management", "Insider Issues", "Internal Audit", "Lending Issues", "Loan Review", "Other Lending Deficiencies", "Problem Loan Identification", "Strategic Planning" ] }, { "Institution": "Beacon Federal", "CharterNumber": "715220", "Company": "", "Individual": "", "Location": "East Syracuse, NY", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "07/12/2012", "StartDocuments": [ "2012-169" ], "TerminationDate": "10/19/2012", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": 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"Beauregard FSB", "CharterNumber": "705195", "Company": "", "Individual": "", "Location": "Deridder, LA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "09/30/2019", "StartDocuments": [ "2019-062" ], "TerminationDate": "07/11/2024", "TerminationDocuments": [ "AA-SO-2024-69" ], "DocketNumber": "AA-SO-2019-57", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Audit", "Board / Management Oversight", "Credit/Collateral Exceptions", "Enterprise Governance / Internal Controls / General Risk Management", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Internal Audit", "Lending Issues", "Loan Review", "Loans to Insiders (incl. Reg O)", "Other Lending Deficiencies", "Problem Loan Identification" ] }, { "Institution": "Beauregard FSB", "CharterNumber": "705195", "Company": "", "Individual": "Green, Carroll", "Location": "Deridder, LA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "12/17/2021", "StartDocuments": [ "2021-055" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2021-52", "SubjectMatters": [ "Breach of Fiduciary Duty", "Fraud/Forgery", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Lending Issues", "Loans to Insiders (incl. Reg O)", "Nominee Lending", "Other Lending Deficiencies" ] }, { "Institution": "Beauregard FSB", "CharterNumber": "705195", "Company": "", "Individual": "Green, Carroll", "Location": "Deridder, LA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "150000.00", "StartDate": "12/17/2021", "StartDocuments": [ "2021-055" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-ENF-2021-52", "SubjectMatters": [ "Breach of Fiduciary Duty", "Fraud/Forgery", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Lending Issues", "Loans to Insiders (incl. Reg O)", "Nominee Lending", "Other Lending Deficiencies" ] }, { "Institution": "Beauregard FSB", "CharterNumber": "705195", "Company": "", "Individual": "Green, Carroll", "Location": "Deridder, LA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "08/05/2019", "StartDocuments": [ "2019-043" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "SO-2019-40", "SubjectMatters": [ "Breach of Fiduciary Duty", "Insider Issues", "Lending Issues", "Loans to Insiders (incl. Reg O)", "Overdrafts" ] }, { "Institution": "Beauregard FSB", "CharterNumber": "705195", "Company": "", "Individual": "Stark, Rafeal", "Location": "Deridder, LA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "04/27/2022", "StartDocuments": [ "2022-011" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2022-10", "SubjectMatters": [ "Breach of Fiduciary Duty", "False Statements / Obstruction", "Fraud/Forgery", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Lending Issues", "Other Lending Deficiencies" ] }, { "Institution": "Beauregard FSB", "CharterNumber": "705195", "Company": "", "Individual": "Stark, Rafeal", "Location": "Deridder, LA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "30000.00", "StartDate": "04/27/2022", "StartDocuments": [ "2022-011" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-ENF-2022-10", "SubjectMatters": [ "Breach of Fiduciary Duty", "False Statements / Obstruction", "Fraud/Forgery", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Lending Issues", "Other Lending Deficiencies" ] }, { "Institution": "Beauregard FSB", "CharterNumber": "705195", "Company": "", "Individual": "Stark, Rafeal Webb", "Location": "Deridder, LA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "15000.00", "StartDate": "08/05/2019", "StartDocuments": [ "2019-044" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "SO-2019-41", "SubjectMatters": [ "Breach of Fiduciary Duty", "Insider Issues", "Lending Issues", "Loans to Insiders (incl. Reg O)" ] }, { "Institution": "Bedford National Bank", "CharterNumber": "17429", "Company": "", "Individual": "", "Location": "Bedford, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "700.00", "StartDate": "09/20/1989", "StartDocuments": [ "1038" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Belmont National Bank", "CharterNumber": "14050", "Company": "", "Individual": "", "Location": "Wheeling, WV", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "08/03/1999", "StartDocuments": [ "99-57" ], "TerminationDate": "10/03/2002", "TerminationDocuments": [ "2002-125" ], "DocketNumber": "AA-EC-99-16", "SubjectMatters": [] }, { "Institution": "Belmont National Bank", "CharterNumber": "14540", "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": "03/14/1991", "StartDocuments": [ "228" ], "TerminationDate": "06/19/1993", "TerminationDocuments": [ "93-195" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Belmont National Bank", "CharterNumber": "14540", "Company": "", "Individual": "Karris, Nicholas A.", "Location": "Chicago, IL", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "10/16/1991", "StartDocuments": [ "400" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-CD-91-38", "SubjectMatters": [] }, { "Institution": "Belmont National Bank", "CharterNumber": "14050", "Company": "", "Individual": "Wallace, William", "Location": "Wheeling, WV", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "06/05/2002", "StartDocuments": [ "2002-50" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Belmont National Bank", "CharterNumber": "14050", "Company": "", "Individual": "Wallace, William", "Location": "Wheeling, WV", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "06/05/2002", "StartDocuments": [ "2002-50" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-00-26", "SubjectMatters": [] }, { "Institution": "Ben Franklin Bank of Illinois", "CharterNumber": "715152", "Company": "", "Individual": "", "Location": "Arlington Heights, IL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "02/05/2019", "StartDocuments": [ "2019-005" ], "TerminationDate": "09/30/2020", "TerminationDocuments": [], "DocketNumber": "AA-EC-2019-4", "SubjectMatters": [ "Board / Management Oversight", "Capital", "Enterprise Governance / Internal Controls / General Risk Management", "Strategic Planning" ] }, { "Institution": "Ben Franklin Bank of Illinois", "CharterNumber": "715152", "Company": "", "Individual": "", "Location": "Arlington Heights, IL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "11/25/2015", "StartDocuments": [ "2015-122" ], "TerminationDate": "02/05/2019", "TerminationDocuments": [ "2019-007" ], "DocketNumber": "AA-CE-2015-69", "SubjectMatters": [ "Capital", "Strategic Planning" ] }, { "Institution": "Ben Franklin Bank of Illinois", "CharterNumber": "715152", "Company": "", "Individual": "", "Location": "Arlington Heights, IL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "12/19/2012", "StartDocuments": [ "2012-266" ], "TerminationDate": "11/25/2015", "TerminationDocuments": [ "2015-122" ], "DocketNumber": "AA-CE-2012-156", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Appraisals", "Asset Quality", "Board / Management Oversight", "Capital", "Concentration Risk Management", "Consumer Law", "Credit/Collateral Exceptions", "Flood Insurance", "Lending Issues", "Liquidity", "Loan Review", "Other Lending Deficiencies", "Problem Loan Identification", "Strategic Planning", "TILA/RESPA" ] }, { "Institution": "Beneficial National Bank", "CharterNumber": "17539", "Company": "", "Individual": "", "Location": "Wilmington, DE", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3300.00", "StartDate": "12/03/1990", "StartDocuments": [ "968" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-90-161", "SubjectMatters": [] }, { "Institution": "Bergen Park National Bank", "CharterNumber": "18457", "Company": "", "Individual": "Kinney, Gregg A.", "Location": "Evergreen, CO", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1000.00", "StartDate": "08/22/1989", "StartDocuments": [ "10" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Bergen Park National Bank", "CharterNumber": "18457", "Company": "", "Individual": "Lamphier, Mark A.", "Location": "Evergreen, CO", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1000.00", "StartDate": "08/22/1989", "StartDocuments": [ "10" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Beverly Bank & Trust Company, National Association", "CharterNumber": "24466", "Company": "", "Individual": "O'Malley, Dennis", "Location": "Chicago, IL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000.00", "StartDate": "08/15/2011", "StartDocuments": [ "2011-119" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-11-49", "SubjectMatters": [] }, { "Institution": "Beverly Bank & Trust Company, National Association", "CharterNumber": "24466", "Company": "", "Individual": "O'Malley, James", "Location": "Chicago, IL", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "06/21/2011", "StartDocuments": [ "2011-104" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-11-48", "SubjectMatters": [] }, { "Institution": "Beverly Bank & Trust Company, National Association", "CharterNumber": "24466", "Company": "", "Individual": "O'Malley, James", "Location": "Chicago, IL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "6500.00", "StartDate": "06/21/2011", "StartDocuments": [ "2011-104" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-11-48", "SubjectMatters": [] }, { "Institution": "Big Lake National Bank", "CharterNumber": "20494", "Company": "", "Individual": "", "Location": "Okeechobee, FL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "10/19/2005", "StartDocuments": [ "2005-146" ], "TerminationDate": "07/03/2006", "TerminationDocuments": [ "2006-103" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Blackfeet National Bank", "CharterNumber": "21158", "Company": "", "Individual": "", "Location": "Browning, MT", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "07/24/2001", "StartDocuments": [ "2001-51" ], "TerminationDate": "03/08/2007", "TerminationDocuments": [ "2007-032" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Blanco National Bank", "CharterNumber": "8134", "Company": "", "Individual": "Stevenson, John B.", "Location": "Blanco, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2500.00", "StartDate": "12/19/1991", "StartDocuments": [ "423" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Blc Bank, National Association", "CharterNumber": "42", "Company": "", "Individual": "Braas, Joseph", "Location": "Strasburg, PA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "02/17/2011", "StartDocuments": [ "2011-038" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-08-42", "SubjectMatters": [] }, { "Institution": "Blc Bank, National Association", "CharterNumber": "42", "Company": "", "Individual": "Hoover, Thomas", "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": [ "2012-238" ], "TerminationDate": "04/25/2019", "TerminationDocuments": [ "2019-022" ], "DocketNumber": "AA-EC-2019-25", "SubjectMatters": [ "Lending Issues", "Other Lending Deficiencies" ] }, { "Institution": "Blc Bank, National Association", "CharterNumber": "42", "Company": "", "Individual": "Kissel, W. Bruce", "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": "Kroesen, Curtis", "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": "Kroesen, Misty (formerly Misty May)", "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": "Schlager, Michael", "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": "Stankiewicz, Mary", "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": "Keith, Jason C.", "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": "Murillo, Marissa", "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": "Walker, Requel", "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": "Walker, Terry", "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": "Watters, Samantha", "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": "Gronlie, Debra", "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": "Gronlie, Debra", "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": "Gronlie, Debra", "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" ], 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"AA-EC-2019-34", "SubjectMatters": [ "Fraud/Forgery", "Insider Issues", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Capital One, National Association", "CharterNumber": "13688", "Company": "", "Individual": "Minerve, Jeffrey", "Location": "Mclean, VA", "TypeCode": "1829", "TypeDescription": "1829 Prohibition Notification", "Amount": "0.00", "StartDate": "03/11/2025", "StartDocuments": [ "2025-03" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Violation Cited (Criminal Statute)" ] }, { "Institution": "Capital One, National Association", "CharterNumber": "13688", "Company": "", "Individual": "Sanchez, Yeselin", "Location": "Mclean, VA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "06/27/2018", "StartDocuments": [ "2018-050" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2018-28", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "Capital One, National Association", "CharterNumber": "13688", "Company": "", "Individual": "Williams, Laterrika", "Location": "Mclean, VA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "10/23/2007", "StartDocuments": [ "2007-128" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-07-60", "SubjectMatters": [] }, { "Institution": "Capital One, National Association", "CharterNumber": "13688", "Company": "Capital One Home Loans", "Individual": "", "Location": "Mclean, VA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "125000.00", "StartDate": "01/16/2009", "StartDocuments": [ "2009-003" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-08-87", "SubjectMatters": [] }, { "Institution": "Capitol National Bank", "CharterNumber": "17525", "Company": "", "Individual": "", "Location": "Lansing, MI", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "01/30/2015", "StartDocuments": [ "2015-002" ], "TerminationDate": "08/02/2018", "TerminationDocuments": [ "2018-068" ], "DocketNumber": "AA-EC-2014-87", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Asset Quality", "Audit", "Board / Management Oversight", "Capital", "Concentration Risk Management", "Credit/Collateral Exceptions", "Internal Audit", "Lending Issues", "Loan Review", "Other Lending Deficiencies", "Problem Loan Identification", "Sensitivity to Market Risk", "Strategic Planning", "Third Party Risk Management" ] }, { "Institution": "Capitol National Bank", "CharterNumber": "17525", "Company": "", "Individual": "", "Location": "Lansing, MI", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "12/22/2009", "StartDocuments": [ "2009-216" ], "TerminationDate": "01/30/2015", "TerminationDocuments": [ "2015-002" ], "DocketNumber": "AA-EC-09-79", "SubjectMatters": [] }, { "Institution": "Capitol National Bank", "CharterNumber": "17525", "Company": "", "Individual": "", "Location": "Lansing, MI", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "01/30/2009", "StartDocuments": [ "2009-023" ], "TerminationDate": "12/22/2009", "TerminationDocuments": [ "2009-216" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Carnegie Bank, National Association", "CharterNumber": "22217", "Company": "", "Individual": "Ponder, James E.", "Location": "Langhorne, PA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "01/18/2002", "StartDocuments": [ "2002-11" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Carolina Federal Savings Bank", "CharterNumber": "715721", "Company": "", "Individual": "", "Location": "Charleston, SC", "TypeCode": "PCAD", "TypeDescription": "Prompt Corrective Action (PCA) Directive", "Amount": "0.00", "StartDate": "05/09/2012", "StartDocuments": [ "2012-114" ], "TerminationDate": "06/08/2012", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Appraisals", "Board / Management Oversight", "Capital", "Lending Issues", "Other Lending Deficiencies", "Prompt Corrective Action" ] }, { "Institution": "Carver Federal Savings Bank", "CharterNumber": "705273", "Company": "", "Individual": "", "Location": "New York, NY", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "05/14/2025", "StartDocuments": [ "AA-NE-2025-18" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-NE-2025-18", "SubjectMatters": [ "Board / Management Oversight", "Earnings", "Strategic Planning" ] }, { "Institution": "Carver 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"02/07/2011", "StartDocuments": [ "NE 11-05" ], "TerminationDate": "11/03/2014", "TerminationDocuments": [ "2014-137" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Casco Northern Bank, National Association", "CharterNumber": "13768", "Company": "", "Individual": "", "Location": "Portland, ME", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "05/13/1991", "StartDocuments": [ "265" ], "TerminationDate": "06/13/1995", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Castle Bank, National Association", "CharterNumber": "14008", "Company": "", "Individual": "", "Location": "Dekalb, IL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "06/25/2009", "StartDocuments": [ "2009-107" ], "TerminationDate": "11/01/2010", "TerminationDocuments": [ "2010-234" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Cayuga Lake National Bank", "CharterNumber": "412", "Company": "", "Individual": "Cook, Mark", "Location": "Union 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": "Cayuga Lake National Bank", "CharterNumber": "412", "Company": "", "Individual": "Cook, Mark", "Location": "Union 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": "Cbc National Bank", "CharterNumber": "23922", "Company": "", "Individual": "", "Location": "Fernandina Beach, FL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "08/26/2009", "StartDocuments": [ "2009-151" ], "TerminationDate": "08/07/2013", "TerminationDocuments": [ "2013-109" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Ccnb Bank, N.A.", "CharterNumber": "14542", "Company": "", "Individual": "", "Location": "Camp Hill, PA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "07/10/1991", "StartDocuments": [ "332" ], "TerminationDate": "08/06/1993", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Cedar National Bank", "CharterNumber": "18005", "Company": "", "Individual": "Homeyer, Norman", "Location": "St. Ansgar, IA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1500.00", "StartDate": "07/24/1995", "StartDocuments": [ "95-52" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-MW-94-18", "SubjectMatters": [] }, { "Institution": "Cedar National Bank", "CharterNumber": "18005", "Company": "", "Individual": "McKinley, Hal", "Location": "St. Ansgar, IA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1500.00", "StartDate": "07/24/1995", "StartDocuments": [ "95-53" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-MW-94-16", "SubjectMatters": [] }, { "Institution": "Cedar National Bank", "CharterNumber": "18005", "Company": "", "Individual": "McKinley, Keith", "Location": "St. Ansgar, IA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1500.00", "StartDate": "07/24/1995", "StartDocuments": [ "95-54" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-MW-94-17", "SubjectMatters": [] }, { "Institution": "Cedar National Bank", "CharterNumber": "18005", "Company": "", "Individual": "Neeley, Garry", "Location": "St. Ansgar, IA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "250.00", "StartDate": 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"", "Individual": "Bassi, Neil", "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": "Galloni, David", "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": "Galloni, David", "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": "Campbell, Richard O.", "Location": "Denver, CO", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2500.00", "StartDate": "06/18/1991", "StartDocuments": [ "318" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-WD-91-53", "SubjectMatters": [] }, { "Institution": "Chancery National Bank", "CharterNumber": "18153", "Company": "", "Individual": "Dyer, Norman", "Location": "Denver, CO", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3750.00", "StartDate": "09/26/1991", "StartDocuments": [ "368" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-WD-91-52", "SubjectMatters": [] }, { "Institution": "Chancery National Bank", "CharterNumber": "18153", "Company": "", "Individual": "Wendt, William", "Location": "Denver, CO", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2000.00", "StartDate": "01/13/1992", "StartDocuments": [ "915" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-WD-91-97", "SubjectMatters": [] }, { "Institution": "Channel Islands National Bank", "CharterNumber": "20344", "Company": "", "Individual": "", "Location": "Oxnard, CA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "06/03/1993", "StartDocuments": [ "93-114" ], "TerminationDate": "02/16/1995", "TerminationDocuments": [ "95-07" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Charles Schwab Bank", "CharterNumber": "718077", "Company": "", "Individual": "Vargas, Nicholas", "Location": "Reno, NV", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "04/24/2017", "StartDocuments": [ "2017-038" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2017-18", "SubjectMatters": [ "Breach of Fiduciary Duty", "Fraud/Forgery", "Insider Issues", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Charter National Bank and Trust", "CharterNumber": "16880", "Company": "", "Individual": "", "Location": "Hoffman Estates, IL", "TypeCode": "PCAD", "TypeDescription": "Prompt Corrective Action (PCA) Directive", "Amount": "0.00", "StartDate": "12/20/2011", "StartDocuments": [ "2011-180" ], "TerminationDate": "02/10/2012", "TerminationDocuments": [], "DocketNumber": "AA-EC-11-102", "SubjectMatters": [] }, { "Institution": "Charter National Bank and Trust", "CharterNumber": "16880", "Company": "", "Individual": "", "Location": "Hoffman Estates, IL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "04/29/2010", "StartDocuments": [ "2010-099" ], "TerminationDate": "02/10/2012", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Charter One Bank, National Association", "CharterNumber": "24340", "Company": "", "Individual": "", "Location": "Cleveland, OH", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "500000.00", "StartDate": "05/17/2005", "StartDocuments": [ "2005-55" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-05-24", "SubjectMatters": [] }, { "Institution": "Charter West National Bank", "CharterNumber": "18601", "Company": "", "Individual": "", "Location": "West Point, NE", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "10/03/2008", "StartDocuments": [ "2008-140" ], "TerminationDate": "07/12/2010", "TerminationDocuments": [ "2010-159" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Chase Bank of Texas, National Association", "CharterNumber": "10225", "Company": "", "Individual": "Coston, Byron A.", "Location": "Houston, TX", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "06/02/2003", "StartDocuments": [ "2003-57" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Chase Bank of Texas, National Association", "CharterNumber": "10225", "Company": "", "Individual": "Coston, Byron A.", "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": "06/02/2003", "StartDocuments": [ "2003-57" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Chase Bank of Texas, National Association", "CharterNumber": "10225", "Company": "", "Individual": "Coston, Byron A.", "Location": "Houston, TX", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "18749.68", "StartDate": "06/02/2003", "StartDocuments": [ "2003-57" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Chase Bank of Texas, National Association", "CharterNumber": "10225", "Company": "", "Individual": "Robertson, Damion D.", "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": "04/28/2003", "StartDocuments": [ "2003-61" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Chase Bank USA, National Association", "CharterNumber": "23160", "Company": "", "Individual": "", "Location": "Wilmington, DE", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "0.00", "StartDate": "07/08/2015", "StartDocuments": [ "2015-076" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2014-64", "SubjectMatters": [ "Consumer Law", "False Statements / Obstruction", "SCRA/Military Lending Act" ] }, { "Institution": "Chase Bank USA, National Association", "CharterNumber": "23160", "Company": "", "Individual": "", "Location": "Wilmington, DE", "TypeCode": "CMP", "TypeDescription": "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": [ "Audit", "Compliance Risk Management", "Consumer Law", "Enterprise Governance / Internal Controls / General Risk Management", "False Statements / Obstruction", "Internal Audit", "Lending Issues", "Other Lending Deficiencies", "SCRA/Military Lending Act", "Third Party Risk Management" ] }, { "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": [ "2013-139" ], "TerminationDate": "11/02/2015", "TerminationDocuments": [ "2015-130" ], "DocketNumber": "AA-EC-13-45", "SubjectMatters": [ "Audit", "Compliance Risk Management", "Consumer Law", "Internal Audit", "Third Party Risk Management", "Unfair or Deceptive (UDAP)" ] }, { "Institution": "Chase Bank USA, National Association", "CharterNumber": "23160", "Company": "", "Individual": "", "Location": "Wilmington, DE", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "60000000.00", "StartDate": "09/18/2013", "StartDocuments": [ "2013-141" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-13-46", "SubjectMatters": [ "Consumer Law", "Unfair or Deceptive (UDAP)" ] }, { "Institution": "Chase Bank USA, National Association", "CharterNumber": "23160", "Company": "", "Individual": "", "Location": "Wilmington, DE", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "See Order", "StartDate": "09/18/2013", "StartDocuments": [ "2013-138" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-13-76", "SubjectMatters": [ "Audit", "Compliance Risk Management", "Consumer Law", "Enterprise Governance / Internal Controls / General Risk Management", "False Statements / Obstruction", "Internal Audit", "Lending Issues", "Other Lending Deficiencies", "SCRA/Military Lending Act", "Third Party Risk Management" ] }, { "Institution": "Chase Bank USA, National Association", "CharterNumber": "23160", "Company": "", "Individual": "", "Location": "Wilmington, DE", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "See Order", "StartDate": "09/18/2013", "StartDocuments": [ "2013-139" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-13-45", "SubjectMatters": [ "Audit", "Compliance Risk Management", "Consumer Law", "Internal Audit", "Third Party Risk Management", "Unfair or Deceptive (UDAP)" ] }, { "Institution": "Chase Bank USA, National Association", "CharterNumber": "23160", "Company": "", "Individual": "", "Location": "Newark, DE", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "01/14/2013", "StartDocuments": [ "2013-002" ], "TerminationDate": "05/24/2019", "TerminationDocuments": [ "2019-028" ], "DocketNumber": "AA-EC-13-04", "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": "Cherokee Bank, National Association", "CharterNumber": "23841", "Company": "", "Individual": "", "Location": "Canton, GA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "04/29/2009", "StartDocuments": [ "2009-059" ], "TerminationDate": "02/17/2014", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Cherry Creek National Bank", "CharterNumber": "14952", "Company": "", "Individual": "Hause, Jerome M.", "Location": "Denver, CO", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "4500.00", "StartDate": "12/22/1992", "StartDocuments": [ "801" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Cherry Creek National Bank", "CharterNumber": "14952", "Company": "", "Individual": "Hettermann, Donald P.", "Location": "Denver, CO", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "900.00", "StartDate": "12/22/1992", "StartDocuments": [ "800" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Cherry Creek National Bank", "CharterNumber": "14952", "Company": "", "Individual": "Hobbs, Branson", "Location": "Denver, CO", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2250.00", "StartDate": "12/22/1992", "StartDocuments": [ "802" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Cherry Creek National Bank", "CharterNumber": "14952", "Company": "", "Individual": "Johnson, R. Edgar", "Location": "Denver, CO", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "900.00", "StartDate": "12/22/1992", "StartDocuments": [ "803" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Cherry Creek National Bank", "CharterNumber": "14952", "Company": "", "Individual": "Perry, Peyton F.", "Location": "Denver, CO", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "900.00", "StartDate": "12/22/1992", "StartDocuments": [ "804" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Cherry Creek National Bank", "CharterNumber": "14952", "Company": "", "Individual": "Powers, Paul W.", "Location": "Denver, CO", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2250.00", "StartDate": "12/22/1992", "StartDocuments": [ "805" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Cherry Creek National Bank", "CharterNumber": "14952", "Company": "", "Individual": "Rose, Byron A.", "Location": "Denver, CO", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2250.00", "StartDate": "12/22/1992", "StartDocuments": [ "806" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Cherry Creek National Bank", "CharterNumber": "14952", "Company": "", "Individual": "Chester, E.B.", "Location": "Denver, CO", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "9000.00", "StartDate": "12/22/1992", "StartDocuments": [ "799" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Chester National Bank", "CharterNumber": "23158", "Company": "", "Individual": "Welge, Michael", "Location": "Chester, IL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "02/26/2021", "StartDocuments": [ "2021-009" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [ "Inaccurate / Incomplete / False Books and Records", "Securities Activities", "Trading & Securities" ] }, { "Institution": "Chinatown Federal Savings Bank", "CharterNumber": "708003", "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": "08/14/2009", "StartDocuments": [ "NE 09-20" ], "TerminationDate": "05/31/2012", "TerminationDocuments": [ "2012-150" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Chino Commercial Bank, National Association", "CharterNumber": "23950", "Company": "", "Individual": "", "Location": "Chino, CA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "04/12/2011", "StartDocuments": [ "2011-063" ], "TerminationDate": "10/10/2013", "TerminationDocuments": [ "2013-169" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Chino Commercial Bank, National Association", "CharterNumber": "23950", "Company": "", "Individual": "Bowman, Dann", "Location": "Chino, CA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "7500.00", "StartDate": "03/01/2012", "StartDocuments": [ "2012-058" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-WE-12-27", "SubjectMatters": [ "Lending Issues", "Loans to Insiders (incl. Reg O)", "Overdrafts" ] }, { "Institution": "Chino Commercial Bank, National Association", "CharterNumber": "23950", "Company": "", "Individual": "Caberto, Roger", "Location": "Chino, CA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2500.00", "StartDate": "03/01/2012", "StartDocuments": [ "2012-059" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-WE-12-28", "SubjectMatters": [ "Lending Issues", "Loans to Insiders (incl. Reg O)", "Overdrafts" ] }, { "Institution": "Chino Commercial Bank, National Association", "CharterNumber": "23950", "Company": "", "Individual": "Cooper, Linda", "Location": "Chino, CA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1000.00", "StartDate": "03/01/2012", "StartDocuments": [ "2012-060" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-WE-12-29", "SubjectMatters": [ "Insider Issues", "Lending Issues", "Loans to Insiders (incl. Reg O)", "Overdrafts" ] }, { "Institution": "Chino Commercial Bank, National Association", "CharterNumber": "23950", "Company": "", "Individual": "Kindsvater, Corky", "Location": "Chino, CA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "500.00", "StartDate": "03/01/2012", "StartDocuments": [ "2012-061" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-WE-12-32", "SubjectMatters": [ "Lending Issues", "Loans to Insiders (incl. Reg O)", "Overdrafts" ] }, { "Institution": "Chino Commercial Bank, National Association", "CharterNumber": "23950", "Company": "", "Individual": "Malooly, Richard", "Location": "Chino, CA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "500.00", "StartDate": "03/01/2012", "StartDocuments": [ "2012-062" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-WE-12-33", "SubjectMatters": [ "Lending Issues", "Loans to Insiders (incl. Reg O)", "Overdrafts" ] }, { "Institution": "Chino Commercial Bank, National Association", "CharterNumber": "23950", "Company": "", "Individual": "Vanderpool, Richard", "Location": "Chino, CA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "7500.00", "StartDate": "03/01/2012", "StartDocuments": [ "2012-063" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-WE-12-26", "SubjectMatters": [ "Insider Issues", "Lending Issues", "Loans to Insiders (incl. Reg O)", "Overdrafts" ] }, { "Institution": "Chino Commercial Bank, National Association", "CharterNumber": "23950", "Company": "", "Individual": "Wolfswinkel, Bernie", "Location": "Chino, CA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "500.00", "StartDate": "03/01/2012", "StartDocuments": [ "2012-064" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-WE-12-34", "SubjectMatters": [ "Lending Issues", "Loans to Insiders (incl. Reg O)", "Overdrafts" ] }, { "Institution": "Chino Commercial Bank, National Association", "CharterNumber": "23950", "Company": "", "Individual": "Woodbury, Thomas", "Location": "Chino, CA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "500.00", "StartDate": "03/01/2012", "StartDocuments": [ "2012-065" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-WE-12-31", "SubjectMatters": [ "Lending Issues", "Loans to Insiders (incl. 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"Company": "", "Individual": "", "Location": "Sioux Falls, SD", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "350000000.00", "StartDate": "11/11/2014", "StartDocuments": [ "2014-173" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-14-101", "SubjectMatters": [ "Foreign Exchange (FX)", "Trading & Securities" ] }, { "Institution": "Citibank, National Association", "CharterNumber": "1461", "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": "02/28/2013", "StartDocuments": [ "2013-131" ], "TerminationDate": "06/16/2015", "TerminationDocuments": [ "2015-060" ], "DocketNumber": "AA-EC-11-13", "SubjectMatters": [ "Consumer Law", "Foreclosures", "Lending Issues" ] }, { "Institution": "Citibank, National Association", "CharterNumber": "1461", "Company": "", "Individual": 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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": "Monegro, David", "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": "Pinkett, Preston D.", "Location": "Newark, NJ", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "08/18/2020", "StartDocuments": [ "2020-045" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2020-20", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "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", "Compensation", "Customer/Enhanced Due Diligence (CDD/EDD)", "Insider Issues", "Lending Issues", "Noncompliance with Enforcement Action", "Problem Loan Identification", "Prompt Corrective Action", "SAR/CTR Monitoring/Filing Issue", "Third Party Risk Management" ] }, { "Institution": "City National Bank of New Jersey", "CharterNumber": "16142", "Company": "", "Individual": "Pinkett, Preston D.", "Location": "Newark, NJ", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "70000.00", "StartDate": "08/18/2020", "StartDocuments": [ "2020-045" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2020-20", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "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", "Compensation", "Customer/Enhanced Due Diligence (CDD/EDD)", "Insider Issues", "Lending Issues", "Noncompliance with Enforcement Action", "Problem Loan Identification", "Prompt Corrective Action", "SAR/CTR Monitoring/Filing Issue", "Third Party Risk Management" ] }, { "Institution": "City National Bank of New Jersey", "CharterNumber": "16142", "Company": "", "Individual": "Whigham, Lemar", "Location": "Newark, NJ", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3000.00", "StartDate": "08/18/2020", "StartDocuments": [ "2020-046" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2020-27", "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", "Prompt Corrective Action", "SAR/CTR Monitoring/Filing Issue" ] }, { "Institution": "City National Bank of New Jersey", "CharterNumber": "16142", "Company": "", "Individual": "Williams, H. 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"Institution": "City National Bank Of Sayre", "CharterNumber": "9976", "Company": "", "Individual": "Noyes, Alan W.", "Location": "Sayre, OK", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "100000.00", "StartDate": "09/05/1991", "StartDocuments": [ "373" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-89-136", "SubjectMatters": [] }, { "Institution": "City National Bank Of Washington", "CharterNumber": "21536", "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": "05/28/1992", "StartDocuments": [ "619" ], "TerminationDate": "06/25/1993", "TerminationDocuments": [], "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": "09/26/2001", "StartDocuments": [ "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": "Gatens, Robin", "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": "Mobley, Regina", "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": "Scior, Susan", "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": "Clare, Colleen", "Location": "Platteville, WI", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "11/03/2016", "StartDocuments": [ "2016-104" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-CE-2016-76", "SubjectMatters": [ "Breach of Fiduciary Duty", "Inaccurate / Incomplete / False Books and Records" ] }, { "Institution": "Clare Bank, National Association", "CharterNumber": "15649", "Company": "", "Individual": "Clare, Doris", "Location": "Platteville, WI", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "11/03/2016", "StartDocuments": [ "2016-105" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-CE-2016-79", "SubjectMatters": [ "Breach of Fiduciary Duty", "Inaccurate / Incomplete / False Books and Records" ] }, { "Institution": "Clare Bank, National Association", "CharterNumber": "15649", "Company": "", "Individual": "Clare, Patrick", "Location": "Platteville, WI", "TypeCode": "CMP", "TypeDescription": "Civil Money 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": "Clare, Timothy", "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": "Cowlin, Kelly", "Location": "Platteville, WI", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "11/03/2016", "StartDocuments": [ "2016-108" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-CE-2016-81", "SubjectMatters": [ "Breach of Fiduciary Duty", "Inaccurate / Incomplete / False Books and Records" ] }, { "Institution": "Clare Bank, National Association", "CharterNumber": "15649", "Company": "", "Individual": "Kalish, David", "Location": "Platteville, WI", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "11/03/2016", "StartDocuments": [ "2016-109" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-CE-2016-82", "SubjectMatters": [ "Breach of Fiduciary Duty", "Inaccurate / Incomplete / False Books and Records" ] }, { "Institution": "Clare Bank, National Association", "CharterNumber": "15649", "Company": "", "Individual": "Kies, Gary", "Location": "Platteville, WI", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "11/03/2016", "StartDocuments": [ "2016-110" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-CE-2016-83", "SubjectMatters": [ "Breach of Fiduciary Duty", "Inaccurate / Incomplete / False Books and Records" ] }, { "Institution": "Clare Bank, National Association", "CharterNumber": "15649", "Company": "", "Individual": "McWilliams, Debra", "Location": "Platteville, WI", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "11/03/2016", "StartDocuments": [ "2016-111" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-CE-2016-84", "SubjectMatters": [ "Breach of Fiduciary Duty", "Inaccurate / Incomplete / False Books and Records" ] }, { "Institution": "Claritybank.Com, N.A.", "CharterNumber": "17733", "Company": "", "Individual": "", "Location": "Uvalde, TX", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "09/20/2001", "StartDocuments": [ "2001-91" ], "TerminationDate": "02/17/2005", "TerminationDocuments": [ "2005-28" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Clay County Savings Bank", "CharterNumber": "704055", "Company": "", "Individual": "", "Location": "Liberty, MO", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "05/23/2012", "StartDocuments": [ "2012-138" ], "TerminationDate": "12/10/2014", "TerminationDocuments": [ "2014-168" ], "DocketNumber": "", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Asset Quality", "Board / Management Oversight", "Capital", "Credit/Collateral Exceptions", "Earnings", "Lending Issues", "Loan Review", "OREO", "Other Lending Deficiencies", "Problem Loan Identification", "Strategic Planning" ] }, { "Institution": "Clear Creek National Bank", "CharterNumber": "21878", "Company": "", "Individual": "", "Location": "Georgetown, CO", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "06/16/1992", "StartDocuments": [ "611" ], "TerminationDate": "05/12/1994", "TerminationDocuments": [ "94-117" ], "DocketNumber": "AA-WD-92-24", "SubjectMatters": [] }, { "Institution": "Clear Creek National Bank", "CharterNumber": "21878", "Company": "", "Individual": "", "Location": "Georgetown, CO", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "12/04/2009", "StartDocuments": [ "2009-218" ], "TerminationDate": "10/12/2010", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Clear Fork Bank, National Association", "CharterNumber": "3248", "Company": "", "Individual": "", "Location": "Albany, TX", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "10/08/2024", "StartDocuments": [ "AA-ENF-2024-82" ], "TerminationDate": "12/16/2025", "TerminationDocuments": [ "AA-SO-2025-66" ], "DocketNumber": "AA-ENF-2024-82", "SubjectMatters": [ "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": "Clear Lake National Bank", "CharterNumber": "23711", "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": "11/07/2003", "StartDocuments": [ "2003-135" ], "TerminationDate": "04/07/2005", "TerminationDocuments": [ "2005-40" ], "DocketNumber": "AA-EC-03-25", "SubjectMatters": [] }, { "Institution": "Clear Lake National Bank", "CharterNumber": "23711", "Company": "", "Individual": "", "Location": "San Antonio, TX", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "288000.00", "StartDate": "11/07/2003", "StartDocuments": [ "2003-135" ], "TerminationDate": "04/07/2005", "TerminationDocuments": [ "2005-40" ], "DocketNumber": "AA-EC-03-25", "SubjectMatters": [] }, { "Institution": "Clear Lake National Bank", "CharterNumber": "23711", "Company": "", "Individual": "", "Location": "San Antonio, TX", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "06/20/2001", "StartDocuments": [ "2001-41" ], "TerminationDate": "03/21/2003", "TerminationDocuments": [ "2003-43" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Clear Lake National Bank", "CharterNumber": "23711", "Company": "", "Individual": "Kinder, Nancy A.", "Location": "San Antonio, TX", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal 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"DocketNumber": "AA-EC-03-28", "SubjectMatters": [] }, { "Institution": "Clear Lake National Bank", "CharterNumber": "23711", "Company": "", "Individual": "Muckleroy, Michael Kent", "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": "04/19/2005", "StartDocuments": [ "2005-46" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-03-28", "SubjectMatters": [] }, { "Institution": "Clear Lake National Bank", "CharterNumber": "23711", "Company": "", "Individual": "Muckleroy, Michael Kent", "Location": "San Antonio, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "20000.00", "StartDate": "04/19/2005", "StartDocuments": [ "2005-46" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-03-28", "SubjectMatters": [] }, { "Institution": "Clear Lake National Bank", "CharterNumber": "23711", "Company": "Sedona Pacific Housing Partnership DBA Sedona Pacific Properties", "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": "11/19/2003", "StartDocuments": [ "2003-149" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-03-26", "SubjectMatters": [] }, { "Institution": "Clewiston National Bank", "CharterNumber": "16321", "Company": "", "Individual": "", "Location": "Clewiston, FL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "07/23/1997", "StartDocuments": [ "97-61" ], "TerminationDate": "04/30/1998", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "CNB Bank & Trust, National Association", "CharterNumber": "14347", "Company": "", "Individual": "", "Location": "Carlinville, IL", "TypeCode": "C&D", "TypeDescription": 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Jersey", "CharterNumber": "1452", "Company": "", "Individual": "", "Location": "Newark, NJ", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "25000.00", "StartDate": "01/17/1992", "StartDocuments": [ "992" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-SCP-92-04", "SubjectMatters": [] }, { "Institution": "First Fidelity Bank, N.A., New Jersey", "CharterNumber": "1452", "Company": "", "Individual": "", "Location": "Newark, NJ", "TypeCode": "SEC", "TypeDescription": "Securities Enforcement Action", "Amount": "0.00", "StartDate": "01/17/1992", "StartDocuments": [ "992" ], "TerminationDate": "01/11/1994", "TerminationDocuments": [], "DocketNumber": "AA-SCP-92-04", "SubjectMatters": [] }, { "Institution": "First Fidelity Bank, National Association", "CharterNumber": "17045", "Company": "", "Individual": "", "Location": "Oklahoma City, OK", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1000.00", "StartDate": "03/30/2006", "StartDocuments": [ "2006-20" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First Fidelity Trust, N.A.", "CharterNumber": "17912", "Company": "", "Individual": "", "Location": "Boca Raton, FL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2100.00", "StartDate": "04/29/1991", "StartDocuments": [ "552" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First Fidelity Trust, National Association, Florida", "CharterNumber": "17912", "Company": "", "Individual": "", "Location": "Boca Raton, FL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3000.00", "StartDate": "08/05/1991", "StartDocuments": [ "1011" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-91-122", "SubjectMatters": [] }, { "Institution": "First Financial Bank, National Association", "CharterNumber": "56", "Company": "", "Individual": "", "Location": "Hamilton, OH", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "11700.00", "StartDate": "10/02/2015", "StartDocuments": [ "2015-103" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-CE-2015-73", "SubjectMatters": [ "Consumer Law", "Flood Insurance" ] }, { "Institution": "First Financial Bank, National Association", "CharterNumber": "4166", "Company": "", "Individual": "Ward, Nikki", "Location": "Abilene, TX", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "07/15/2025", "StartDocuments": [ "AA-ENF-2024-34" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2024-34", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "First Florida Bank, National Association", "CharterNumber": "3497", "Company": "", "Individual": "", "Location": "Tampa, FL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "09/18/1991", "StartDocuments": [ "378" ], "TerminationDate": "03/19/1993", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First FS & LA", "CharterNumber": "705957", "Company": "", "Individual": "", "Location": "Pascagoula, MS", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "35000.00", "StartDate": "10/31/2017", "StartDocuments": [ "2017-087" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-SO-2017-65", "SubjectMatters": [ "Consumer Law", "Flood Insurance" ] }, { "Institution": "First FS & LA", "CharterNumber": "706902", "Company": "", "Individual": "Derrickson, Ralph", "Location": "Morehead, KY", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2500.00", "StartDate": "08/23/2023", "StartDocuments": [ "2023-026" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-CE-2023-29", "SubjectMatters": [ "Breach of Fiduciary Duty", "Enterprise Governance / Internal Controls / General Risk Management", "Insider Issues" ] }, { "Institution": "First FS & LA of Central Illinois", "CharterNumber": "703812", "Company": "", "Individual": "", "Location": "Shelbyville, IL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "07/12/2013", "StartDocuments": [ "2013-092" ], "TerminationDate": "02/09/2015", "TerminationDocuments": [ "2015-021" ], "DocketNumber": "", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Appraisals", "Audit", "BSA Independent Testing/Audit", "BSA Internal Controls", "BSA/AML", "Compliance Risk Management", "Consumer Law", "Credit/Collateral Exceptions", "Customer/Enhanced Due Diligence (CDD/EDD)", "GLBA (12 CFR 30, Appx B)", "Inaccurate / Incomplete / False Books and Records", "Information Technology", "Internal Audit", "Lending Issues", "OREO", "Other Lending Deficiencies", "Overdrafts", "Problem Loan Identification", "SAR/CTR Monitoring/Filing Issue", "TILA/RESPA", "Violation Cited (Other)" ] }, { "Institution": "First FS & LA of Greensburg", "CharterNumber": "704656", "Company": "", "Individual": "", "Location": "Greensburg, IN", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "07/28/2014", "StartDocuments": [ "2014-101" ], "TerminationDate": "03/02/2017", "TerminationDocuments": [ "2017-041" ], "DocketNumber": "", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Asset Quality", "Board / Management Oversight", "Capital", "Credit/Collateral Exceptions", "GLBA (12 CFR 30, Appx B)", "Information Technology", "Lending Issues", "Loan Review", "Other Lending Deficiencies", "Problem Loan Identification", "Sensitivity to Market Risk", "Third Party Risk Management" ] }, { "Institution": "First FS & LA of Hammond", "CharterNumber": "702692", "Company": "", "Individual": "", "Location": "Hammond, IN", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "01/12/2011", "StartDocuments": [ "SA" ], "TerminationDate": "04/01/2014", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First FS & LA of Kewanee", "CharterNumber": "703756", "Company": "", "Individual": "", "Location": "Kewanee, IL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "01/18/2012", "StartDocuments": [ "2012-012" ], "TerminationDate": "09/09/2014", "TerminationDocuments": [ "2014-123" ], "DocketNumber": "", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Asset Quality", "Concentration Risk Management", "Credit/Collateral Exceptions", "Lending Issues", "Liquidity", "Other Lending Deficiencies" ] }, { "Institution": "First FS & LA of Kewanee", "CharterNumber": "703756", "Company": "", "Individual": "", "Location": "Kewanee, IL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "08/24/2010", "StartDocuments": [ "SA" ], "TerminationDate": "01/23/2012", "TerminationDocuments": [ "2012-014" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First FS & LA of Lorain", "CharterNumber": "704171", "Company": "", "Individual": "", "Location": "Lorain, OH", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "02/29/2024", "StartDocuments": [ "AA-CE-2024-03" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-CE-2024-03", "SubjectMatters": [ "BSA Internal Controls", "BSA Officer", "BSA Training", "BSA/AML", "Customer/Enhanced Due Diligence (CDD/EDD)", "Earnings", "Liquidity", "Sensitivity to Market Risk", "Strategic Planning" ] }, { "Institution": "First FS & LA of McMinnville", "CharterNumber": "703773", "Company": "", "Individual": "", "Location": "McMinnville, OR", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "11/16/2011", "StartDocuments": [ "2011-170" ], "TerminationDate": "07/09/2013", "TerminationDocuments": [ "2013-100" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First FS&LA of Independence", "CharterNumber": "700391", "Company": "", "Individual": "", "Location": "Independence, KS", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "03/01/2012", "StartDocuments": [ "2012-056" ], "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": "Ashlock, Dale Mitch", "Location": "Olathe, KS", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "19000.00", "StartDate": "03/08/2012", "StartDocuments": [ "2012-067" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-11-103", "SubjectMatters": [ "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Lending Issues", "Loans to Insiders (incl. Reg O)" ] }, { "Institution": "First Heritage Bank, National Association", "CharterNumber": "7376", "Company": "", "Individual": "Clemens, Thomas N.", "Location": "Pittsburg, TX", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "8000.00", "StartDate": "09/09/1991", "StartDocuments": [ "359" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First Heritage Bank, National Association", "CharterNumber": "24574", "Company": "", "Individual": "", "Location": "Newport Beach, CA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "06/04/2008", "StartDocuments": [ "2008-054" ], "TerminationDate": "07/25/2008", "TerminationDocuments": [], "DocketNumber": "AA-WE-08-34", "SubjectMatters": [] }, { "Institution": "First Illinois National Bank", "CharterNumber": "13886", "Company": "", "Individual": "", "Location": "Savanna, IL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "08/30/1999", "StartDocuments": [ "99-124" ], "TerminationDate": "02/26/2001", "TerminationDocuments": [ "2001-16" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First Illinois National Bank", "CharterNumber": "13886", "Company": "", "Individual": "Henson, Larry", "Location": "Savanna, IL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "15000.00", "StartDate": "05/10/2000", "StartDocuments": [ "2000-43" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First Illinois National Bank", "CharterNumber": "13886", "Company": "", "Individual": "Bryant, Christopher", "Location": "Savanna, IL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000.00", "StartDate": "09/19/2000", "StartDocuments": [ "2000-89" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First Independence National Bank", "CharterNumber": "15801", "Company": "", "Individual": "", "Location": "Detroit, MI", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "04/24/1991", "StartDocuments": [ "248" ], "TerminationDate": "01/16/1998", "TerminationDocuments": [ "98-4" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First Independence National Bank Of Detroit", "CharterNumber": "15801", "Company": "", "Individual": "", "Location": "Detroit, MI", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "10/07/1992", "StartDocuments": [ "834" ], "TerminationDate": "05/24/1993", "TerminationDocuments": [ "93-198" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First Integrity Bank, National Association", "CharterNumber": "23524", "Company": "", "Individual": "", "Location": "Staples, MN", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "01/31/2008", "StartDocuments": [ "2008-006" ], "TerminationDate": "05/30/2008", "TerminationDocuments": [], "DocketNumber": "AA-EC-08-01", "SubjectMatters": [] }, { "Institution": "First Integrity Bank, National Association", "CharterNumber": "23524", "Company": "", "Individual": "Carr, Bruce", "Location": "Staples, MN", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "07/13/2005", "StartDocuments": [ "2005-92" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-04-82", "SubjectMatters": [] }, { "Institution": "First Integrity Bank, National Association", "CharterNumber": "23524", "Company": "", "Individual": "Duhn, David", "Location": "Staples, MN", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "03/17/2009", "StartDocuments": [ "2009-041" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-09-15", "SubjectMatters": [] }, { "Institution": "First Integrity Bank, National Association", "CharterNumber": "23524", "Company": "", "Individual": "Duhn, David", "Location": "Staples, MN", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "07/12/2005", "StartDocuments": [ "2005-93" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-04-81", "SubjectMatters": [] }, { "Institution": "First Integrity Bank, National Association", "CharterNumber": "23524", "Company": "", "Individual": "Ellis, Allen R.", "Location": "Staples, MN", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "06/01/2010", "StartDocuments": [ "2010-148" 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"Location": "Washington, DC", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "10/28/1993", "StartDocuments": [ "93-371" ], "TerminationDate": "07/26/1994", "TerminationDocuments": [ "94-273" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First Liberty National Bank", "CharterNumber": "18739", "Company": "", "Individual": "", "Location": "Washington, DC", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "04/04/2006", "StartDocuments": [ "2006-21" ], "TerminationDate": "09/15/2006", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First Liberty National Bank", "CharterNumber": "18739", "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": "04/23/2004", "StartDocuments": [ "2004-32" ], "TerminationDate": "09/15/2006", "TerminationDocuments": [], "DocketNumber": "AA-EC-04-06", "SubjectMatters": [] }, { "Institution": "First Liberty National Bank", "CharterNumber": "18739", "Company": "", "Individual": "", "Location": "Washington, DC", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "12/11/1991", "StartDocuments": [ "425" ], "TerminationDate": "10/28/1993", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First Liberty National Bank", "CharterNumber": "18739", "Company": "", "Individual": "Dean, Richard", "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": "04/13/2005", "StartDocuments": [ "2005-48" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-04-25", "SubjectMatters": [] }, { "Institution": "First Liberty National Bank", "CharterNumber": 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"CharterNumber": "22852", "Company": "", "Individual": "Little, Stephen Michael", "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": "McCants, Lawrence", "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": "McCants, Lawrence", "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": "McCarthy, Michael", "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": "McCarthy, Michael", "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": "McCaslin, Henry", "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": "McCaslin, Henry", "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": "McCaslin, Henry", "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": "McCaslin, Henry", "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": "McCaslin, Henry", "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": "McClellan, Michael", "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": "McClelland, Jack", "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": "McClelland, Jack", "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": "McHardy, Kris", "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": "McMath, Heys Edward", "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": "Moffat, David", "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": "Moffat, David", "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": "Morris, Kim", "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": "Morris, Kim", "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": "Moyers, Teresa Scott", "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": "Mulling, Isaac Jefferson", "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": "Ortega, Saul", "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": "Overby, Archie G.", "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": "Overby, Archie G.", "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": "Overby, Archie G.", "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": "Overby, Archie G.", "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": "Overby, Archie G.", "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": "Overby, Archie G.", "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": "Perrigo, Kathlene", "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": "Rogers, David", "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": "Schmidtberger, Randy", "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": "States, Alan", "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": "States, Carolyn", "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": "Thoe, Sylvia", "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": "Timm, Dwane", "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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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": "DeNaples, Louis A.", "Location": "Dunmore, PA", "TypeCode": "Notice", "TypeDescription": "Notice of Charges", "Amount": "0.00", "StartDate": "11/24/2009", "StartDocuments": [ "N09-002" ], "TerminationDate": "10/02/2013", "TerminationDocuments": [ "2013-225" ], "DocketNumber": "AA-EC-09-98", "SubjectMatters": [] }, { "Institution": "First National Summit Bank", "CharterNumber": "2686", "Company": "", "Individual": "Sellers, Bob L.", "Location": "Gunnison, CO", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "01/08/1999", "StartDocuments": [ "99-4" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-98-28", "SubjectMatters": [] }, { "Institution": "First National Trust Company", "CharterNumber": "24283", "Company": "", "Individual": "Cross, Nancy J.", "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": "Moore, Lisa", "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": "Moseri, Onyeacholem", "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": "Moseri, Onyeacholem", "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": "Schueler, William A.", "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": "Schueler, William A.", "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": "Blank, Albert P.", "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": "Blank, Albert P.", "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": "Diamond, Eric C.", "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": "Diamond, Eric C.", "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": "Diamond, Jaime J.", "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": "Diamond, Jaime J.", "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": "Lewis, Steven R.", "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": "Lewis, Steven R.", "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": "Reay, Craig E.", "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": "Reay, Craig E.", "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": "Sanford, T. Denny", "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": "Mounce, Gary W.", "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": "Mounce, Gary W.", "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": "McIntyre-Kolpin, Melinda", "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": "Schlichte, Debra", "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": "Hagemeyer, Loren A.", "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": "Barrett, Kimberly J.", "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": 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"StartDate": "07/25/1991", "StartDocuments": [ "348" ], "TerminationDate": "08/12/1993", "TerminationDocuments": [ "93-243" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "First-Taylor National Bank", "CharterNumber": "3027", "Company": "", "Individual": "Parker, Dr. Carlos Dale", "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": "Ferguson, Blake", "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": "Ferguson, Jeffrey Scott", "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": "Mulder, William Brian", "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": "Mulder, William Brian", "Location": "Sallisaw, OK", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "250000.00", "StartDate": "09/03/2020", "StartDocuments": [ "2020-063" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "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": "Mulder, William Brian", "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": "Mulder, William Brian", "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. Reg O)", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Firstcapital Bank of Texas, National Association", "CharterNumber": "23681", "Company": "", "Individual": "Burgess, Brad", "Location": "Midland, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "25000.00", "StartDate": "04/10/2023", "StartDocuments": [ "2023-009" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-SO-2023-4", "SubjectMatters": [ "Breach of Fiduciary Duty", "Lending Issues", "Other Lending Deficiencies" ] }, { "Institution": "Firstier Bank, N.A.", "CharterNumber": "1798", "Company": "", "Individual": "", "Location": "Lincoln, NE", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "01/24/1992", "StartDocuments": [ "991" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-SCP-92-04", "SubjectMatters": [] }, { "Institution": "Firstier Bank, N.A.", "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", 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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": "Zaccaro, Kristi", "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": "Szymanski, Walter M.", "Location": "Boston, MA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "03/15/2000", "StartDocuments": [ "2000-37" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Fleet Bank, N.A.", "CharterNumber": "22435", "Company": "", "Individual": "Pearson, Stacey E.", "Location": "Springfield, MA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "11/09/2000", "StartDocuments": [ "2000-106" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Fleet Bank, N.A.", "CharterNumber": "22435", "Company": "", "Individual": "Wenhold, Julie A.", "Location": "Springfield, MA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "04/20/1999", "StartDocuments": [ "99-24" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Fleet National Bank", "CharterNumber": "200", "Company": "", "Individual": "Evenden, Andrew", "Location": "Boston, MA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "03/26/2001", "StartDocuments": [ "2001-45" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Fleet National Bank", "CharterNumber": "200", "Company": "", "Individual": "Evenden, Andrew", "Location": "Boston, MA", "TypeCode": "SEC", "TypeDescription": "Securities Enforcement Action", "Amount": "0.00", "StartDate": "03/26/2001", "StartDocuments": [ "2001-45" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-SCP-00-28", "SubjectMatters": [] }, { "Institution": "Fleet National Bank", "CharterNumber": "1338", "Company": "", "Individual": "Chukwuma, Oliver O.", "Location": "Providence, RI", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "07/09/2007", "StartDocuments": [ "2007-083" ], "TerminationDate": "", 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"TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "01/14/2010", "StartDocuments": [ "2010-025" ], "TerminationDate": "03/22/2012", "TerminationDocuments": [ "2012-082" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Florida Capital Bank, National Association", "CharterNumber": "20214", "Company": "", "Individual": "", "Location": "Jacksonville, FL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "04/13/2020", "StartDocuments": [ "2020-024" ], "TerminationDate": "01/26/2022", "TerminationDocuments": [ "2022-003" ], "DocketNumber": "AA-SO-2020-06", "SubjectMatters": [ "Asset Quality", "Board / Management Oversight", "Capital", "Concentration Risk Management", "Credit/Collateral Exceptions", "Enterprise Governance / Internal Controls / General Risk Management", "Lending Issues", "Liquidity", "Loan Review", "Other Lending Deficiencies", "Problem Loan Identification", "Sensitivity to Market 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"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": "", 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"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": "Cestone, 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"CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "75000.00", "StartDate": "12/01/2015", "StartDocuments": [ "2015-126" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2015-91", "SubjectMatters": [ "Breach of Fiduciary Duty", "BSA/AML", "Customer/Enhanced Due Diligence (CDD/EDD)", "Insider Issues", "Lending Issues", "Overdrafts", "SAR/CTR Monitoring/Filing Issue" ] }, { "Institution": "Gibraltar Private Bank & Trust Co.", "CharterNumber": "708007", "Company": "", "Individual": "LeGaux, Elden", "Location": "Coral Gables, FL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "15000.00", "StartDate": "06/21/2018", "StartDocuments": [ "2018-060" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2018-27", "SubjectMatters": [ "BSA/AML", "Customer/Enhanced Due Diligence (CDD/EDD)" ] }, { "Institution": "Gibraltar Private Bank & Trust Co.", "CharterNumber": "708007", "Company": "", "Individual": "Sanders, Charles", "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": "03/15/2016", "StartDocuments": [ "2016-038" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2015-92", "SubjectMatters": [ "BSA SAR Violation / 12 CFR 21.11 or 163.180", "BSA Violation Cited", "BSA/AML", "SAR/CTR Monitoring/Filing Issue" ] }, { "Institution": "Gibraltar Private Bank & Trust Co.", "CharterNumber": "708007", "Company": "", "Individual": "Sanders, Charles", "Location": "Coral Gables, FL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2500.00", "StartDate": "03/15/2016", "StartDocuments": [ "2016-038" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2015-92", "SubjectMatters": [ "BSA SAR Violation / 12 CFR 21.11 or 163.180", "BSA Violation Cited", "BSA/AML", "SAR/CTR Monitoring/Filing Issue" ] }, { "Institution": "Gibraltar Private Bank & Trust Co.", "CharterNumber": "708007", "Company": "", "Individual": "VanDresser, William", "Location": "Coral Gables, FL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "35000.00", "StartDate": "06/21/2018", "StartDocuments": [ "2018-061" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2018-26", "SubjectMatters": [ "BSA/AML", "Customer/Enhanced Due Diligence (CDD/EDD)" ] }, { "Institution": "Gladewater National Bank", "CharterNumber": "17290", "Company": "", "Individual": "", "Location": "Gladewater, TX", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "12/12/1991", "StartDocuments": [ "419" ], "TerminationDate": "08/10/1993", "TerminationDocuments": [ "93-242" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Gladewater National Bank", "CharterNumber": "17290", "Company": "", "Individual": "Gibbs, Donald G.", "Location": "Gladewater, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2500.00", "StartDate": "04/09/1992", "StartDocuments": [ "953" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-SW-92-86", "SubjectMatters": [] }, { "Institution": "Gladewater National Bank", "CharterNumber": "17290", "Company": "", "Individual": "Jones, Joe J.", "Location": "Gladewater, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1500.00", "StartDate": "05/28/1992", "StartDocuments": [ "657" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Gladewater National Bank", "CharterNumber": "17290", "Company": "", "Individual": "Jones, Joe R.", "Location": "Gladewater, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1000.00", "StartDate": "05/28/1992", "StartDocuments": [ "658" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-SW-92-84", "SubjectMatters": [] }, { "Institution": "Gladewater National Bank", "CharterNumber": "17290", "Company": "", "Individual": "", "Location": "Gladewater, TX", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "06/17/2009", "StartDocuments": [ "2009-093" ], "TerminationDate": "04/26/2011", "TerminationDocuments": [ "2011-092" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Gladewater National Bank", "CharterNumber": "17290", "Company": "", "Individual": "", "Location": "Gladewater, TX", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "07/31/2003", "StartDocuments": [ "2003-176" ], "TerminationDate": "07/05/2006", "TerminationDocuments": [ "2006-106" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Gladewater National Bank", "CharterNumber": "17290", "Company": "", "Individual": "Goddard, James H.", "Location": "Gladewater, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1500.00", "StartDate": "08/25/1992", "StartDocuments": [ "691" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Glendale National Bank Of New Jersey", "CharterNumber": "16164", "Company": "", "Individual": "", "Location": "Voorhees Township, NJ", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "02/01/1993", "StartDocuments": [ "93-5" ], "TerminationDate": "09/21/1994", "TerminationDocuments": [ "94-265" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Glendale National Bank Of New Jersey", "CharterNumber": "16164", "Company": "", "Individual": "Costalas, Constantinos I.", "Location": "Voorhees, NJ", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "10/13/1995", "StartDocuments": [ "95-75" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "95-ND", "SubjectMatters": [] }, { "Institution": "Glendale National Bank of New Jersey", "CharterNumber": "16164", "Company": "", "Individual": "Costalas, Constantinos I.", "Location": "Voorhees, NJ", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "25000.00", "StartDate": "10/13/1995", "StartDocuments": [ "95-75" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "95-ND", "SubjectMatters": [] }, { "Institution": "Global Payments Inc", "CharterNumber": "601243", "Company": "Global Payment Systems, LLC (Atlanta, GA)", "Individual": "", "Location": "Atlanta, GA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "08/24/1999", "StartDocuments": [ "99-61" ], "TerminationDate": "11/30/1999", "TerminationDocuments": [ "99-95" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "GN Bank", "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": "09/18/2020", "StartDocuments": [ "2020-053" ], "TerminationDate": "06/30/2025", "TerminationDocuments": [ "AA-ENF-2025-39" ], "DocketNumber": "AA-EC-2020-50", "SubjectMatters": [ "Affiliate Transactions (incl. Reg W)", "Allowance for Losses (ALLL / ACL)", "Asset Quality", "Audit", "Board / Management Oversight", "Capital", "Concentration Risk Management", "Credit/Collateral Exceptions", "Earnings", "Enterprise Governance / Internal Controls / General Risk Management", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Internal Audit", "Lending Issues", "Loans to Insiders (incl. Reg O)", "Other Lending Deficiencies", "Problem Loan Identification", "Strategic Planning" ] }, { "Institution": "GN Bank", "CharterNumber": "703395", "Company": "", "Individual": "Brown, Jacqueline", "Location": "Chicago, IL", "TypeCode": "Notice", "TypeDescription": "Notice of Charges", "Amount": "0.00", "StartDate": "07/21/2021", "StartDocuments": [ "N21-003" ], "TerminationDate": "02/01/2022", "TerminationDocuments": [ "2022-007" ], "DocketNumber": "AA-EC-2021-04", "SubjectMatters": [ "Breach of Fiduciary Duty", "BSA Violation Cited", "BSA/AML", "Fraud/Forgery", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Gold Country Bank, National Association", "CharterNumber": "20862", "Company": "", "Individual": "", "Location": "Marysville, CA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "11/10/2004", "StartDocuments": [ "2004-134" ], "TerminationDate": "04/30/2010", "TerminationDocuments": [ "2010-179" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Gold Country National Bank", "CharterNumber": "20862", "Company": "", "Individual": "", "Location": "Brownsville, CA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "05/24/2001", "StartDocuments": [ "2001-43" ], "TerminationDate": "09/26/2002", "TerminationDocuments": [ "2002-91" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Gold Country National Bank", "CharterNumber": "20862", "Company": "", "Individual": "", "Location": "Brownsville, CA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "09/07/2000", "StartDocuments": [ "2000-81" ], "TerminationDate": "09/26/2002", "TerminationDocuments": [ "2002-91" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Gold Country National Bank", "CharterNumber": "20862", "Company": "", "Individual": "", "Location": "Brownsville, CA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "09/29/1998", "StartDocuments": [ "98-54" ], "TerminationDate": "11/30/1998", "TerminationDocuments": [ "98-83" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Golden Bank, National Association", "CharterNumber": "18558", "Company": "", "Individual": "", "Location": "Houston, TX", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "01/20/2010", "StartDocuments": [ "2010-060" ], "TerminationDate": "09/20/2013", "TerminationDocuments": [ "2013-158" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Golden Bank, National Association", "CharterNumber": "18558", "Company": "", "Individual": "Tseng, Richard", "Location": "Houston, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3000.00", "StartDate": "07/16/2012", "StartDocuments": [ "2012-164" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-SO-12-61", "SubjectMatters": [ "Inaccurate / Incomplete / False Books and Records" ] }, { "Institution": "Golden Bank, National Association", "CharterNumber": "18558", "Company": "", "Individual": "Wu, Kenneth", "Location": "Houston, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3000.00", "StartDate": "07/02/2012", "StartDocuments": [ "2012-165" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-SO-12-59", "SubjectMatters": [ "Inaccurate / Incomplete / False Books and Records" ] }, { "Institution": "Golden Bank, National Association", "CharterNumber": "18558", "Company": "", "Individual": "Yang, Milton", "Location": "Houston, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3000.00", "StartDate": "08/03/2012", "StartDocuments": [ "2012-187" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-SO-12-60", "SubjectMatters": [ "Inaccurate / Incomplete / False Books and Records" ] }, { "Institution": "Golden Pacific Bank, National Association", "CharterNumber": "20862", "Company": "", "Individual": "Dowdell, Kirk N.", "Location": "Sacramento, CA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "09/20/2016", "StartDocuments": [ "2016-085" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2014-72", "SubjectMatters": [ "Breach of Fiduciary Duty", "Expense Abuse", "Insider Issues", "Lending Issues", "Loans to Insiders (incl. Reg O)", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Golden Pacific Bank, National Association", "CharterNumber": "20862", "Company": "", "Individual": "Dowdell, Kirk N.", "Location": "Sacramento, CA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "09/20/2016", "StartDocuments": [ "2016-085" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2014-72", "SubjectMatters": [ "Breach of Fiduciary Duty", "Expense Abuse", "Insider Issues", "Lending Issues", "Loans to Insiders (incl. Reg O)", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Golden Pacific Bank, National Association", "CharterNumber": "20862", "Company": "", "Individual": "Dowdell, Kirk N.", "Location": "Sacramento, CA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "25000.00", "StartDate": "09/20/2016", "StartDocuments": [ "2016-085" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2014-72", "SubjectMatters": [ "Breach of Fiduciary Duty", "Expense Abuse", "Insider Issues", "Lending Issues", "Loans to Insiders (incl. Reg O)", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Golden Pacific Bank, National Association", "CharterNumber": "20862", "Company": "", "Individual": "Dowdell, Kirk N.", "Location": "Sacramento, CA", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "29973.00", "StartDate": "09/20/2016", "StartDocuments": [ "2016-085" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2014-72", "SubjectMatters": [ "Breach of Fiduciary Duty", "Expense Abuse", "Insider Issues", "Lending Issues", "Loans to Insiders (incl. 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Reg O)", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Golden Pacific Bank, National Association", "CharterNumber": "20862", "Company": "", "Individual": "Lyon, Bradley", "Location": "Sacramento, CA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "12/10/2020", "StartDocuments": [ "2020-073" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-WE-2020-6 I", "SubjectMatters": [ "Breach of Fiduciary Duty", "Inaccurate / Incomplete / False Books and Records", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Golden Pacific Bank, National Association", "CharterNumber": "20862", "Company": "", "Individual": "Lyon, Bradley", "Location": "Sacramento, CA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000.00", "StartDate": "12/10/2020", "StartDocuments": [ "2020-073" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-WE-2020-6 I", "SubjectMatters": [ "Breach of Fiduciary Duty", "Inaccurate / Incomplete / False Books and Records", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Goldwater Bank, National Association", "CharterNumber": "24671", "Company": "", "Individual": "", "Location": "Scottsdale, AZ", "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": [ "2010-092" ], "TerminationDate": "09/18/2015", "TerminationDocuments": [ "2015-110" ], "DocketNumber": "AA-EC-10-32", "SubjectMatters": [] }, { "Institution": "Goleta National Bank", "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": "10/28/2002", "StartDocuments": [ "2002-93" ], "TerminationDate": "10/21/2003", "TerminationDocuments": [ "2003-129" ], "DocketNumber": "AA-EC-02-18", "SubjectMatters": [] }, { "Institution": "Goleta National Bank", "CharterNumber": "21699", "Company": "", "Individual": "", "Location": "Goleta, CA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "75000.00", "StartDate": "10/28/2002", "StartDocuments": [ "2002-93" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-02-18", "SubjectMatters": [] }, { "Institution": "Goleta National Bank", "CharterNumber": "21699", "Company": "", "Individual": "", "Location": "Goleta, CA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "03/23/2000", "StartDocuments": [ "2000-31" ], "TerminationDate": "10/30/2002", "TerminationDocuments": [ "2002-110" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Goleta National Bank", "CharterNumber": "21699", "Company": "Ace Cash Express, Inc.", "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": "10/25/2002", "StartDocuments": [ "2002-92" ], "TerminationDate": "02/14/2018", "TerminationDocuments": [ "2018-013" ], "DocketNumber": "AA-EC-02-19", "SubjectMatters": [] }, { "Institution": "Goleta National Bank", "CharterNumber": "21699", "Company": "Ace Cash Express, Inc.", "Individual": "", "Location": "Goleta, CA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "250000.00", "StartDate": "10/25/2002", "StartDocuments": [ "2002-92" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-02-19", "SubjectMatters": [] }, { "Institution": "Grand Bank For Savings, FSB", "CharterNumber": "707547", "Company": "", "Individual": "Langton, Edward", "Location": "Hattiesburg, MS", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "04/21/2025", "StartDocuments": [ "AA-SO-2025-16" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-SO-2025-16", "SubjectMatters": [ "Breach of Fiduciary Duty", "Compensation", "Insider Issues" ] }, { "Institution": "Grand Bank, National Association", "CharterNumber": "24268", "Company": "", "Individual": "", "Location": "Hamilton, NJ", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "11/23/2015", "StartDocuments": [ "2015-123" ], "TerminationDate": "09/20/2017", "TerminationDocuments": [ "2017-093" ], "DocketNumber": "AA-NE-2015-98", "SubjectMatters": [ "Earnings", "Expense Abuse", "Insider Issues" ] }, { "Institution": "Grand Bank, National Association", "CharterNumber": "24268", "Company": "", "Individual": "", "Location": "Hamilton, NJ", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "10/25/2011", "StartDocuments": [ "2011-152" ], "TerminationDate": "09/30/2019", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Grand Bank, National Association", "CharterNumber": "24268", "Company": "", "Individual": "", "Location": "Hamilton, NJ", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "08/04/2009", "StartDocuments": [ "2009-126" ], "TerminationDate": "10/25/2011", "TerminationDocuments": [ "2011-152" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Grand Bank, National Association", "CharterNumber": "24268", "Company": "", "Individual": "Smith, Kevin", "Location": "Hamilton, NJ", "TypeCode": "1829", "TypeDescription": "1829 Prohibition Notification", "Amount": "0.00", "StartDate": "03/06/2025", "StartDocuments": [ "2025-05" ], "TerminationDate": "", "TerminationDocuments": 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PC&D Requiring Restitution", "Amount": "1464.00", "StartDate": "11/18/2014", "StartDocuments": [ "2014-163" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Breach of Fiduciary Duty", "False Statements / Obstruction", "Lending Issues", "Licensing Issues", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Hondo National Bank", "CharterNumber": "14351", "Company": "", "Individual": "Finger, Henry M.", "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 & 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Reg W)", "Insider Issues", "Lending Issues", "Loans to Insiders (incl. Reg O)" ] }, { "Institution": "Hopkins Federal Savings Bank", "CharterNumber": "708196", "Company": "", "Individual": "Lapidus, Alvin", "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. 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"TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Huntington National Bank", "CharterNumber": "7745", "Company": "", "Individual": "Thomas-Nicholson, Dyann R.", "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": "Brown, Jacqueline", "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", "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": "08/03/2009", "StartDocuments": [ "SE-09-036" ], "TerminationDate": "08/27/2012", "TerminationDocuments": [ "2012-214" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Independence National Bank", "CharterNumber": "24564", "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": "11/14/2011", "StartDocuments": [ "2011-166" ], "TerminationDate": "06/04/2014", "TerminationDocuments": [ "2014-106" ], "DocketNumber": 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Money Penalty (CMP)", "Amount": "100000.00", "StartDate": "11/14/1990", "StartDocuments": [ "894" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Independent Bank - Dallas", "CharterNumber": "20511", "Company": "", "Individual": "Lokey, Paul E.", "Location": "Dallas, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "100000.00", "StartDate": "11/14/1990", "StartDocuments": [ "894" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Independent Bank - East", "CharterNumber": "16156", "Company": "", "Individual": "Lokey, Paul E.", "Location": "Rockwall, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "100000.00", "StartDate": "11/14/1990", "StartDocuments": [ "894" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { 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"CharterNumber": "8", "Company": "", "Individual": "Pialet, Wendell", "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": "Porras, Sixto", "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": "Pysadee, Harold", "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": "Rodriguez, Guadalupe", "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": "Ruffo, Jeffrey", "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": "Scheel, Kristina L.", "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": "Scherer, Nicole M.", "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": "Shassetz, Samantha", "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": "Smith, Gregg", "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": "Solivan, Rosa L.", "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": "Tallman, Jarrod W.", "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": "Toth, Victoria A.", "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": "Trunz, Christian", "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": "Usher, Richard", "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": "Usher, Richard", "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": "Warden, Sarah N.", "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": "Wheeler, Eric", "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": "Wheeler, Eric", "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": "Wilhoite, Michael", "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": "Williams, Dyemond", "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": "Wilson, Mirsha", "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": "Wright, Alexander W.", "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": "Zatikian, Nick", "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": "07/10/2026", "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": "Khirawi, Aaleldin M.", "Location": "Bedford, NH", "TypeCode": "Prohibition", "TypeDescription": 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"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": [ 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"AA-EC-08-02", "SubjectMatters": [] }, { "Institution": "Keybank National Association", "CharterNumber": "14761", "Company": "", "Individual": "Smith, Seyria T.", "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": "Verhotz, David F.", "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": "Horne, Michelle V.", "Location": "Cleveland, 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"Insider Issues", "Licensing Issues", "Noncompliance with Enforcement Action" ] }, { "Institution": "Landmark Community Bank, National Association", "CharterNumber": "23193", "Company": "", "Individual": "Bjorklund, Craig", "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": "Bjorklund, Craig", "Location": "Isanti, MN", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "45000.00", "StartDate": "10/26/2016", 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"CharterNumber": "23193", "Company": "", "Individual": "Johnson, David", "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": "Johnson, David", "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": 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"Individual": "Johnson, David", "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": "Johnson, Kevin", "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", 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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": "Johnson, Kevin", "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": "Johnson, T.Ryan", "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": "Johnson, T.Ryan", "Location": "Isanti, MN", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or 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Reg O)" ] }, { "Institution": "Merchants Bank of California, National Association", "CharterNumber": "21371", "Company": "", "Individual": "Garza, Rodrigo", "Location": "Carson, CA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "04/16/2018", "StartDocuments": [ "2018-029" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2017-75", "SubjectMatters": [ "Breach of Fiduciary Duty", "BSA Program Violation / 12 CFR 21.21", "BSA Violation Cited", "BSA/AML", "Insider Issues", "Noncompliance with Enforcement Action" ] }, { "Institution": "Merchants Bank of California, National Association", "CharterNumber": "21371", "Company": "", "Individual": "Garza, Rodrigo", "Location": "Carson, CA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "70000.00", "StartDate": "04/16/2018", "StartDocuments": [ "2018-029" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2017-75", "SubjectMatters": [ "Breach of Fiduciary Duty", "BSA Program Violation / 12 CFR 21.21", "BSA Violation Cited", "BSA/AML", "Insider Issues", "Noncompliance with Enforcement Action" ] }, { "Institution": "Merchants Bank of California, National Association", "CharterNumber": "21371", "Company": "", "Individual": "Hall, Janice", "Location": "Carson, CA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "04/26/2018", "StartDocuments": [ "2018-027" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2017-79", "SubjectMatters": [ "BSA Program Violation / 12 CFR 21.21", "BSA Violation Cited", "BSA/AML", "Noncompliance with Enforcement Action" ] }, { "Institution": "Merchants Bank of California, National Association", "CharterNumber": "21371", "Company": "", "Individual": "Roberts, Daniel", "Location": "Carson, CA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "04/10/2018", "StartDocuments": [ "2018-028" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-17-74", "SubjectMatters": [ "Breach of Fiduciary Duty", "BSA Program Violation / 12 CFR 21.21", "BSA Violation Cited", "BSA/AML", "Customer/Enhanced Due Diligence (CDD/EDD)", "Fraud/Forgery", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Noncompliance with Enforcement Action" ] }, { "Institution": "Merchants Bank of California, National Association", "CharterNumber": "21371", "Company": "", "Individual": "Roberts, Daniel", "Location": "Carson, CA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "175000.00", "StartDate": "04/10/2018", "StartDocuments": [ "2018-028" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-17-74", "SubjectMatters": [ "Breach of Fiduciary Duty", "BSA Program Violation / 12 CFR 21.21", "BSA Violation Cited", "BSA/AML", "Customer/Enhanced Due Diligence (CDD/EDD)", "Fraud/Forgery", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Noncompliance with Enforcement Action" ] }, { "Institution": "Merchants Bank of California, National Association", "CharterNumber": "21371", "Company": "", "Individual": "Roberts, Daniel", "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": "06/27/2012", "StartDocuments": [ "2012-131" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-12-10", "SubjectMatters": [ "Legal Lending Limit", "Lending Issues", "Loans to Insiders (incl. Reg O)" ] }, { "Institution": "Merchants Bank of California, National Association", "CharterNumber": "21371", "Company": "", "Individual": "Roberts, Daniel", "Location": "Carson, CA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "35000.00", "StartDate": "06/27/2012", "StartDocuments": [ "2012-131" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-12-10", "SubjectMatters": [ "Legal Lending Limit", "Lending Issues", "Loans to Insiders (incl. Reg O)" ] }, { "Institution": "Merchants Bank of California, National Association", "CharterNumber": "21371", "Company": "", "Individual": "Roberts, Theodore", "Location": "Carson, CA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "20000.00", "StartDate": "02/06/2018", "StartDocuments": [ "2018-012" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2017-78", "SubjectMatters": [ "BSA Program Violation / 12 CFR 21.21", "BSA Violation Cited", "BSA/AML", "Noncompliance with Enforcement Action" ] }, { "Institution": "Merchants Bank of California, National Association", "CharterNumber": "21371", "Company": "", "Individual": "Scott, Phil", "Location": "Carson, CA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2000.00", "StartDate": "06/27/2012", "StartDocuments": [ "2012-162" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-12-14", "SubjectMatters": [ "Affiliate Transactions (incl. Reg W)", "Legal Lending Limit", "Lending Issues", "Loans to Insiders (incl. Reg O)" ] }, { "Institution": "Merchants Bank of California, National Association", "CharterNumber": "21371", "Company": "", "Individual": "Scott, Philip", "Location": "Carson, CA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "20000.00", "StartDate": "03/05/2018", "StartDocuments": [ "2018-022" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2017-80", "SubjectMatters": [ "BSA Program Violation / 12 CFR 21.21", "BSA Violation Cited", "BSA/AML", "Noncompliance with Enforcement Action" ] }, { "Institution": "Merchants National Bank", "CharterNumber": "3430", "Company": "", "Individual": "", "Location": "Vicksburg, MS", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "10/26/1992", "StartDocuments": [ "752" ], "TerminationDate": "11/15/1993", "TerminationDocuments": [ "93-294" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Merchants National Bank", "CharterNumber": "21546", "Company": "", "Individual": "", "Location": "Fort Myers, FL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "07/29/1991", "StartDocuments": [ "352" ], "TerminationDate": "02/07/1992", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Merchants National Bank", "CharterNumber": "21546", "Company": "", "Individual": "", "Location": "Fort Myers, FL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "12/17/1990", "StartDocuments": [ "136" ], "TerminationDate": "02/07/1992", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Meridian Bank, National Association", "CharterNumber": "24320", "Company": "", "Individual": "", "Location": "Wickenburg, AZ", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "06/03/2009", "StartDocuments": [ "2009-083" ], "TerminationDate": "06/20/2012", "TerminationDocuments": [ "2012-145" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Meridian National Bank", "CharterNumber": "14991", "Company": "", "Individual": "", "Location": "St. Paul, MN", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "06/03/1992", "StartDocuments": [ "615" ], "TerminationDate": "05/10/1995", "TerminationDocuments": [ "95-43" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Mesa National Bank", "CharterNumber": "22182", "Company": "", "Individual": "", "Location": "Grand Junction, CO", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000.00", "StartDate": "03/06/1992", "StartDocuments": [ "577" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Metabank", "CharterNumber": "705902", "Company": "", "Individual": "", "Location": "Storm Lake, IA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "07/15/2011", "StartDocuments": [ "CN 11-24" ], "TerminationDate": "08/07/2014", "TerminationDocuments": [ "2014-113" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Metlife Bank, National Association", "CharterNumber": "23743", "Company": "", "Individual": "", "Location": "Morristown, NJ", "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": [ "2013-126" ], "TerminationDate": "08/30/2013", "TerminationDocuments": [], "DocketNumber": "AA-EC-11-16", "SubjectMatters": [ "Consumer Law", "Foreclosures", "Lending Issues" ] }, { "Institution": "Metlife Bank, National Association", "CharterNumber": "23743", "Company": "", "Individual": "", "Location": "Morristown, NJ", "TypeCode": 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Agreement", "Amount": "0.00", "StartDate": "04/01/1991", "StartDocuments": [ "198" ], "TerminationDate": "08/17/1995", "TerminationDocuments": [ "95-119" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Metrobank, National Association", "CharterNumber": "17076", "Company": "", "Individual": "Carey, Sidney R.", "Location": "Oklahoma City, OK", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3500.00", "StartDate": "01/17/2001", "StartDocuments": [ "2001-06" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-SW-00-39", "SubjectMatters": [] }, { "Institution": "Metrobank, National Association", "CharterNumber": "17076", "Company": "", "Individual": "Flanders, Gary W.", "Location": "Oklahoma City, OK", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "12/24/1996", "StartDocuments": [ "96-102" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-96-21", "SubjectMatters": [] }, { "Institution": "Metrobank, National Association", "CharterNumber": "21017", "Company": "", "Individual": "", "Location": "Houston, TX", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "08/10/2009", "StartDocuments": [ "2009-129" ], "TerminationDate": "06/12/2013", "TerminationDocuments": [ "2013-087" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Metropolitan Bank and Trust Company", "CharterNumber": "80066", "Company": "", "Individual": "", "Location": "New York, NY", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "150000.00", "StartDate": "03/24/2006", "StartDocuments": [ "2006-19" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Metropolitan Bank and Trust Company", "CharterNumber": "80066", "Company": "", "Individual": "", "Location": "New York, NY", "TypeCode": 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"CharterNumber": "17031", "Company": "", "Individual": "Terry, Kenneth R.", "Location": "Farmers Branch, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "4000.00", "StartDate": "10/09/1991", "StartDocuments": [ "543" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-91-83", "SubjectMatters": [] }, { "Institution": "Metropolitan National Bank", "CharterNumber": "15836", "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": "03/21/2012", "StartDocuments": [ "2012-053" ], "TerminationDate": "11/25/2013", "TerminationDocuments": [], "DocketNumber": "AA-EC-12-39", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Asset Quality", "Capital", "Lending Issues", "Problem Loan Identification", "Strategic Planning" ] }, { "Institution": "Metropolitan National Bank", "CharterNumber": "23576", "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": "11/05/2010", "StartDocuments": [ "2010-238" ], "TerminationDate": "05/08/2013", "TerminationDocuments": [ "2013-069" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Metropolitan National Bank", "CharterNumber": "23576", "Company": "", "Individual": "", "Location": "New York, NY", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "07/23/2009", "StartDocuments": [ "2009-127" ], "TerminationDate": "11/05/2010", "TerminationDocuments": [ "2010-238" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Metropolitan National Bank", "CharterNumber": "15836", "Company": "", "Individual": "", "Location": "Little Rock, AR", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "05/22/2008", "StartDocuments": [ "2008-041" ], "TerminationDate": "03/21/2012", "TerminationDocuments": [ "2012-053" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Mid City Bank, National Association", "CharterNumber": "17732", "Company": "", "Individual": "", "Location": "Brea, CA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "12/16/1992", "StartDocuments": [ "779" ], "TerminationDate": "10/21/1993", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Mid-America National Bank Of Chicago", "CharterNumber": "14789", "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": "03/30/1993", "StartDocuments": [ "93-74" ], "TerminationDate": "08/17/1994", "TerminationDocuments": [ "94-166" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Mid-Jersey National Bank", "CharterNumber": "21174", "Company": "", "Individual": "", "Location": "Somerville, NJ", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "07/19/1990", "StartDocuments": [ "93" ], "TerminationDate": "09/20/1991", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Mid-Southern Savings Bank, FSB", "CharterNumber": "704817", "Company": "", "Individual": "", "Location": "Salem, IN", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "04/17/2013", "StartDocuments": [ "2013-046" ], "TerminationDate": "11/18/2015", "TerminationDocuments": [ "2015-132" ], "DocketNumber": "", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Asset Quality", "Audit", "Board / Management Oversight", "Credit/Collateral Exceptions", "Internal Audit", "Lending Issues", "Loan Review", "Other Lending 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"Company": "", "Individual": "", "Location": "Mission Viejo, CA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "02/22/1991", "StartDocuments": [ "165" ], "TerminationDate": "02/28/1992", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Mission Viejo National Bank", "CharterNumber": "17021", "Company": "", "Individual": "Brady, William T.", "Location": "Mission Viejo, CA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "03/08/1996", "StartDocuments": [ "96-17" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-96-08", "SubjectMatters": [] }, { "Institution": "Mission Viejo National Bank", "CharterNumber": "17021", "Company": "", "Individual": "Brady, William T.", "Location": "Mission Viejo, CA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "25000.00", "StartDate": "03/08/1996", "StartDocuments": [ "96-17" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-96-08", "SubjectMatters": [] }, { "Institution": "Mission Viejo National Bank", "CharterNumber": "17021", "Company": "", "Individual": "Wakeman, Robert N.", "Location": "Mission Viejo, CA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "03/08/1996", "StartDocuments": [ "96-22" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-96-09", "SubjectMatters": [] }, { "Institution": "Modern Bank, National Association", "CharterNumber": "16629", "Company": "", "Individual": "", "Location": "New York, NY", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "10/27/2009", "StartDocuments": [ "2009-175" ], "TerminationDate": "03/06/2013", "TerminationDocuments": [ "2014-057" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Mojave Desert Bank, National Association", "CharterNumber": "22040", "Company": "", "Individual": "", "Location": "Mojave, CA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "03/07/2012", "StartDocuments": [ "2012-054" ], "TerminationDate": "01/25/2013", "TerminationDocuments": [], "DocketNumber": "AA-WE-12-01", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Appraisals", "Asset Quality", "Audit", "Board / Management Oversight", "BSA Independent Testing/Audit", "BSA Internal Controls", "BSA Officer", "BSA Risk Assessment", "BSA Training", "BSA/AML", "Capital", "Compliance Risk Management", "Concentration Risk Management", "Consumer Law", "Credit/Collateral Exceptions", "Customer/Enhanced Due Diligence (CDD/EDD)", "General IT Controls", "GLBA (12 CFR 30, Appx B)", "Inaccurate / Incomplete / False Books and Records", "Information Technology", "Internal Audit", "Lending Issues", "Loan Review", "OREO", "Other Lending Deficiencies", "Problem Loan Identification", "SAR/CTR Monitoring/Filing Issue" ] }, { "Institution": "Monadnock Community Bank", "CharterNumber": "712716", "Company": "", "Individual": "", "Location": "Peterborough, NH", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "11/26/2010", "StartDocuments": [ "NE-10-31" ], "TerminationDate": "06/28/2013", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Montana National Bank of Plentywood", "CharterNumber": "10986", "Company": "", "Individual": "", "Location": "Plentywood, MT", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "12/19/1990", "StartDocuments": [ "252" ], "TerminationDate": "01/01/1995", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Montgomery National Bank", "CharterNumber": "21312", "Company": "", "Individual": "", "Location": "Bethesda, MD", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "01/22/1992", "StartDocuments": [ "459" ], "TerminationDate": "04/27/1993", "TerminationDocuments": [ "93-375" ], "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": "Harrington, Ward", "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": "Harrington, Ward", "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": "Noyer, Jack", "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": "Noyer, Jack", "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": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Moody National Bank", "CharterNumber": "8899", "Company": "", "Individual": "Lemon, Nelson L.", "Location": "Galveston, TX", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "10/23/1991", "StartDocuments": [ "404" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-91-45", "SubjectMatters": [] }, { "Institution": "Moody National Bank Of Galveston", "CharterNumber": "8899", "Company": "", "Individual": "", "Location": "Galveston, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "450.00", "StartDate": "05/21/1990", "StartDocuments": [ "70" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Morgan Bank, N.A.", "CharterNumber": "18771", "Company": "", "Individual": "", "Location": "Hudson, OH", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "05/30/1997", "StartDocuments": [ "97-33" ], "TerminationDate": "01/07/2000", "TerminationDocuments": [ "2000-141" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Morgan Stanley Bank, N.A.", "CharterNumber": "24908", "Company": "", "Individual": "", "Location": "Salt Lake City, UT", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "60000000.00", "StartDate": "10/08/2020", "StartDocuments": [ "2020-058" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-20-66", "SubjectMatters": [ "General IT Controls", "GLBA (12 CFR 30, Appx B)", "Information Technology", "Third Party Risk Management" ] }, { "Institution": "Morgan Stanley Bank, N.A.", "CharterNumber": "24908", "Company": "", "Individual": "Dorman, Amie", "Location": "Salt Lake City, UT", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "7500.00", "StartDate": "09/30/2019", "StartDocuments": [ "2019-061" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2019-50", "SubjectMatters": [ "Unauthorized Disclosure of OCC Information" ] }, { "Institution": "Morgan Stanley Private Bank, National Association", "CharterNumber": "24981", "Company": "", "Individual": "", "Location": "Purchase, NY", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "60000000.00", "StartDate": "10/08/2020", "StartDocuments": [ "2020-058" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-20-66", "SubjectMatters": [ "General IT Controls", "GLBA (12 CFR 30, Appx B)", "Information Technology", "Third Party Risk Management" ] }, { "Institution": "Morgan Trust Company Of Florida National Associationociation", "CharterNumber": "17214", "Company": "", "Individual": "", "Location": "Palm Beach, FL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10800.00", "StartDate": "01/31/1990", "StartDocuments": [ "33" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Mountain National Bank", "CharterNumber": "23631", "Company": "", "Individual": "", "Location": "Sevierville, TN", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "10/27/2011", "StartDocuments": [ "2011-167" ], "TerminationDate": "06/07/2013", "TerminationDocuments": [], "DocketNumber": "AA-EC-11-82", "SubjectMatters": [] }, { "Institution": "Mountain National Bank", "CharterNumber": "23631", "Company": "", "Individual": "", "Location": "Sevierville, TN", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "06/02/2009", "StartDocuments": [ "2009-092" ], "TerminationDate": "10/27/2011", "TerminationDocuments": [ "2011-167" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Mountain West Bank Of Helena, N.A.", "CharterNumber": "22141", "Company": "", "Individual": "", "Location": "Helena, MT", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "09/01/1992", "StartDocuments": [ "676" ], "TerminationDate": "10/25/1993", "TerminationDocuments": [ "93-254" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Mountain West Bank Of Helena, N.A.", "CharterNumber": "22141", "Company": "", "Individual": "Boutilier, Douglas", "Location": "Helena, MT", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3000.00", "StartDate": "05/26/1993", "StartDocuments": [ "93-132" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-WD-93-14", "SubjectMatters": [] }, { "Institution": "Mountain West Bank of Kalispell, National Association", "CharterNumber": "21156", "Company": "", "Individual": "", "Location": "Kalispell, MT", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "01/15/2009", "StartDocuments": [ "2009-027" ], "TerminationDate": "04/06/2009", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Mountain West Bank, National Association", "CharterNumber": "22141", "Company": "", "Individual": "", "Location": "Helena, MT", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "04/15/2010", "StartDocuments": [ "2010-073" ], "TerminationDate": "12/18/2012", "TerminationDocuments": [ "2012-271" ], "DocketNumber": "AA-WE-09-109", "SubjectMatters": [] }, { "Institution": "Mountain West Bank, National Association", "CharterNumber": "22141", "Company": "", "Individual": "", "Location": "Helena, MT", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "01/15/2009", "StartDocuments": [ "2009-026" ], "TerminationDate": "04/30/2010", "TerminationDocuments": [ "2010-089" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "MT. Troy Bank", "CharterNumber": "700560", "Company": "", "Individual": "Angiulli, Anthony M.", "Location": "Pittsburgh, PA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "06/27/1991", "StartDocuments": [ "PIT 91-9" ], "TerminationDate": "10/16/2014", "TerminationDocuments": [ "2014-138" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "MUFG Bank, Ltd. 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Secondary NY Branch", "CharterNumber": "80139", "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": "11/09/2017", "StartDocuments": [ "2017-094" ], "TerminationDate": "07/20/2021", "TerminationDocuments": [ "2021-028" ], "DocketNumber": "AA-EC-2017-70", "SubjectMatters": [ "BSA Internal Controls", "BSA/AML", "OFAC Compliance Issue" ] }, { "Institution": "MUFG Union Bank, National Association", "CharterNumber": "21541", "Company": "", "Individual": "", "Location": "San Francisco , CA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "15000000.00", "StartDate": "05/10/2023", "StartDocuments": [ "2023-010" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-ENF-2023-7", "SubjectMatters": [ "Consumer Law", "Unfair or Deceptive (UDAP)" ] }, { "Institution": "MUFG Union Bank, National Association", "CharterNumber": "21541", "Company": "", "Individual": "", "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": "09/20/2021", "StartDocuments": [ "2021-037" ], "TerminationDate": "03/04/2024", "TerminationDocuments": [ "AA-ENF-2024-29" ], "DocketNumber": "AA-ENF-2021-34", "SubjectMatters": [ "General IT Controls", "GLBA (12 CFR 30, Appx B)", "Information Technology" ] }, { "Institution": "MUFG Union Bank, National Association", "CharterNumber": "21541", "Company": "", "Individual": "", "Location": "San Francisco, CA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "109667.00", "StartDate": "07/29/2019", "StartDocuments": [ "2019-036" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2019-36", "SubjectMatters": [ "Consumer Law", "Flood Insurance" ] }, { "Institution": "MUFG 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], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-WE-2019-84", "SubjectMatters": [ "Consumer Law", "Flood Insurance" ] }, { "Institution": "Mutual of Omaha Bank", "CharterNumber": "708146", "Company": "", "Individual": "", "Location": "Omaha, NE", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "51765.00", "StartDate": "12/12/2013", "StartDocuments": [ "2013-196" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [ "Consumer Law", "Flood Insurance" ] }, { "Institution": "Mutual SA, Fsa", "CharterNumber": "704492", "Company": "", "Individual": "", "Location": "Leavenworth, KS", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "01/23/2015", "StartDocuments": [ "2015-001" ], "TerminationDate": "12/14/2016", "TerminationDocuments": [ "2016-116" ], "DocketNumber": "AA-EC-2015-5", 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Order (PC&D)", "Amount": "0.00", "StartDate": "10/18/2007", "StartDocuments": [ "2007-123" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-07-61", "SubjectMatters": [] }, { "Institution": "National City Bank", "CharterNumber": "786", "Company": "", "Individual": "Navarro, Laila", "Location": "Cleveland, OH", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "20000.00", "StartDate": "10/18/2007", "StartDocuments": [ "2007-123" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-07-61", "SubjectMatters": [] }, { "Institution": "National City Bank", "CharterNumber": "786", "Company": "", "Individual": "Vazquez, Norma", "Location": "Cleveland, OH", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "03/07/2008", "StartDocuments": [ "2008-022" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-07-21", "SubjectMatters": 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"Individual": "", "Location": "Elizabeth, NJ", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "09/21/1992", "StartDocuments": [ "711" ], "TerminationDate": "04/29/1994", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "National State Bank", "CharterNumber": "1436", "Company": "", "Individual": "", "Location": "Elizabeth, NJ", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "08/22/1991", "StartDocuments": [ "337" ], "TerminationDate": "04/29/1994", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Nationsbank Of Florida, National Association", "CharterNumber": "14376", "Company": "", "Individual": "Woodman, Patricia S.", "Location": "Sarasota, FL", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal 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"SubjectMatters": [] }, { "Institution": "Nationsbank, N.A.", "CharterNumber": "21834", "Company": "", "Individual": "Ferguson, Carlos", "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": "Yarborough, Lisa H.", "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": "10/17/1997", "StartDocuments": [ "97-83" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Nationsbank, N.A.", "CharterNumber": "14448", "Company": "", "Individual": "Yarborough, Lisa H.", "Location": "Charlotte, NC", "TypeCode": 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"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": 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"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", 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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. 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"StartDate": "01/26/1998", "StartDocuments": [ "98-2" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Nbd Bank, National Association.", "CharterNumber": "984", "Company": "", "Individual": "Schwomeyer, Kerri F.", "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": "Mathein, Laura", "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": "Mattingly, Lance D.", "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": "Sanders, Stephanie", "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": "Souky, Stephen", "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": "Souky, Stephen", "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": "Vanderneut, Karla", "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": "Anderson, Rhonda L.", "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": "Schwartz, Justin D.", "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", 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"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": [] }, { 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"CharterNumber": "24606", "Company": "", "Individual": "Smith, Lindsay", "Location": "Anniston, AL", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "09/04/2013", "StartDocuments": [ "2013-164" ], "TerminationDate": "", "TerminationDocuments": [], "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": "Noble Bank & Trust, National Association", "CharterNumber": "24606", "Company": "", "Individual": "Smith, Lindsay", "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", 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"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 (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "02/01/2013", "StartDocuments": [ "2013-010" ], "TerminationDate": "10/14/2015", "TerminationDocuments": [ "2015-116" ], "DocketNumber": "AA-EC-2012-160", "SubjectMatters": [ "BSA Independent Testing/Audit", "BSA Internal Controls", "BSA Officer", "BSA Risk Assessment", "BSA Training", "BSA/AML", "Customer/Enhanced Due Diligence (CDD/EDD)", "SAR/CTR Monitoring/Filing Issue" ] }, { "Institution": "North American SB, FSB", "CharterNumber": "703927", "Company": "", "Individual": "Werner, John", "Location": "Grandview, MO", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "09/06/2023", "StartDocuments": [ "2023-029" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-WE-2023-28", "SubjectMatters": [ "Insider Issues", "Theft / Misappropriation of Funds" ] }, { "Institution": "North Cascades National Bank", "CharterNumber": "21107", "Company": "", "Individual": "", "Location": "Chelan, WA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "12/08/2009", "StartDocuments": [ "2009-244" ], "TerminationDate": "06/25/2012", "TerminationDocuments": [ "2012-242" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "North Cascades National Bank", "CharterNumber": "21107", "Company": "", "Individual": "", "Location": "Chelan, WA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "04/08/2002", "StartDocuments": [ "2002-29" ], "TerminationDate": "04/16/2003", "TerminationDocuments": [ "2003-44" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "North Georgia National Bank", "CharterNumber": "23547", "Company": "", "Individual": "", "Location": "Calhoun, GA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "07/17/2013", "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": "Trofimuk, Martin", "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": "Trofimuk, Martin", "Location": "Waukegan, IL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", 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"Institution": "North State National Bank", "CharterNumber": "17216", "Company": "", "Individual": "", "Location": "Chico, CA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "08/17/1992", "StartDocuments": [ "940" ], "TerminationDate": "01/13/1994", "TerminationDocuments": [ "94-261" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Northeast National Bank", "CharterNumber": "21059", "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": "Arterburn, Morris", "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": "Arterburn, Tony", "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": "Switzer, Steven", "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": "Gilley, Harold P.", "Location": "Garland, TX", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "07/15/1991", "StartDocuments": [ "297" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Northeast National Bank Of Mesquite", "CharterNumber": "21059", "Company": "", "Individual": "Switzer, E. W.", "Location": "Mesquite, TX", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "08/06/1991", "StartDocuments": [ "375" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Northern Trust, National Association", "CharterNumber": "17487", "Company": "", "Individual": "", "Location": "Miami, FL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "125000.00", "StartDate": "07/02/2008", "StartDocuments": [ "2008-067" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-08-40", "SubjectMatters": [] }, { "Institution": "Northern Trust, National Association", "CharterNumber": "17487", "Company": "", "Individual": "Nieto, Silvia Angelico", "Location": "Miami, FL", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "07/18/2011", "StartDocuments": [ "2011-110" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-CE-11-61", "SubjectMatters": [] }, { "Institution": "Northfield Bank", "CharterNumber": "718063", "Company": "", "Individual": "Nicholson, Isaiah", "Location": "Staten Island, NY", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "12/11/2024", "StartDocuments": [ "AA-NE-2024-74" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-NE-2024-74", "SubjectMatters": [ "Fraud/Forgery", "Insider Issues", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Northland National Bank", "CharterNumber": "21071", "Company": "", "Individual": "", "Location": "Gladstone, MO", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "09/02/1993", "StartDocuments": [ "93-229" ], "TerminationDate": "05/09/1995", "TerminationDocuments": [ "95-21" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Northland National Bank", "CharterNumber": "21071", "Company": "", "Individual": "", "Location": "Gladstone, MO", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "06/06/2008", "StartDocuments": [ "2008-056" ], "TerminationDate": "08/22/2011", "TerminationDocuments": [ "2011-127" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Northwestern Bank, National Association", "CharterNumber": "24372", "Company": "", "Individual": "", "Location": "Dilworth, MN", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "01/27/2010", "StartDocuments": [ "2010-028" ], "TerminationDate": "02/03/2012", "TerminationDocuments": [ "2012-084" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Northwestern Bank, National Association", "CharterNumber": "24372", "Company": "", "Individual": "Thomason, Matthew", "Location": "Dilworth, MN", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "05/06/2019", "StartDocuments": [ "2019-023" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2019-3", "SubjectMatters": [] }, { "Institution": "Northwestern Bank, National Association", "CharterNumber": "24372", "Company": "", "Individual": "Thomason, Matthew", "Location": "Dilworth, MN", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "05/06/2019", "StartDocuments": [ "2019-023" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2019-3", "SubjectMatters": [] }, { "Institution": "Northwestern Bank, National Association", "CharterNumber": "24372", "Company": "", "Individual": "Thomason, Matthew", "Location": "Dilworth, MN", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "See Order", "StartDate": "05/06/2019", "StartDocuments": [ "2019-023" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2019-3", "SubjectMatters": [] }, { "Institution": "Northwestern Bank, National Association", "CharterNumber": "24372", "Company": "", "Individual": "Thomason, Matthew", "Location": "Dilworth, MN", "TypeCode": "Notice", "TypeDescription": "Notice of Charges", "Amount": "0.00", "StartDate": "04/11/2019", "StartDocuments": [ "N19-003" ], "TerminationDate": "05/08/2019", "TerminationDocuments": [ "2019-024" ], "DocketNumber": "AA-EC-2019-17", "SubjectMatters": [ "Breach of Fiduciary Duty", "Fraud/Forgery", "Insider Issues", "Lending Issues", "Nominee Lending", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Norwest Bank Arizona, Na", "CharterNumber": "18295", "Company": "", "Individual": "Hernandez, Alta L.", "Location": "Phoenix, AZ", "TypeCode": "Prohibition", "TypeDescription": 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"DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Norwest Bank Texas, N.A.", "CharterNumber": "14208", "Company": "", "Individual": "Hansmann, Grace", "Location": "San Antonio, TX", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "04/23/1999", "StartDocuments": [ "99-22" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-98-", "SubjectMatters": [] }, { "Institution": "Norwest Bank Texas, Na", "CharterNumber": "18647", "Company": "", "Individual": "Black, Becky J.", "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": "Bolton-Johnson, Schronda", "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": "Jones, Cody", "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": "Shriver, Kari", "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": [] }, { 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"StartDate": "11/10/1992", "StartDocuments": [ "826" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Oakland National Bank", "CharterNumber": "2212", "Company": "", "Individual": "Miller, Max", "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": "Miller, Max", "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": "Mooney, Norman J.", "Location": "Oakland, IL", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "11/10/1992", "StartDocuments": [ "862" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Oakland National Bank", "CharterNumber": "2212", "Company": "", "Individual": "Mooney, Norman J.", "Location": "Oakland, IL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3000.00", "StartDate": "11/10/1992", "StartDocuments": [ "828" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Ocala National Bank", "CharterNumber": "20613", "Company": "", "Individual": "", "Location": "Ocala, FL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "09/03/1998", "StartDocuments": [ "98-55" ], "TerminationDate": 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"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": "McCallister, Tabitha", "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": "Oberts, Sheryl", "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": "Tolle, Robert E.", "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": "Lawrence, Karim Walthour", "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": "Levine, Jeffrey", "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": "Bynum, Wilson Daniels", "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": "Sweet, Matthew D.", "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": "Whitehead, Tom", "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": "Whitehead, Tom", "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": "Cook, Mark", "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": "Cook, Mark", "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": "Barnes, James", "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": "Barnes, James", "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. Reg O)", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Ozark Heritage Bank, National Association", "CharterNumber": "14731", "Company": "", "Individual": "Sutterfield, Marvin", "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": "08/10/2012", "StartDocuments": [ "2012-216" ], "TerminationDate": "", "TerminationDocuments": [], "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": "Ozark Heritage Bank, National Association", "CharterNumber": "14731", "Company": "", "Individual": "Sutterfield, Marvin", "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": "", "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": "05/11/2010", "StartDocuments": [ "2010-093" ], "TerminationDate": "12/28/2011", "TerminationDocuments": [ "2011-194" ], "DocketNumber": "AA-EC-10-41", "SubjectMatters": [] }, { "Institution": "Pacific Capital Bank, National Association", "CharterNumber": "24319", "Company": "", "Individual": "", "Location": "Santa Barbara, CA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "26845.00", "StartDate": "08/21/2007", "StartDocuments": [ "2007-094" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-07-24", "SubjectMatters": [] }, { "Institution": "Pacific Coast National Bank", "CharterNumber": "24535", "Company": "", "Individual": "", "Location": "San Clemente, CA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal 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": "Pacific National Bank", "CharterNumber": "20010", "Company": "", "Individual": "", "Location": "Miami, FL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "7000000.00", "StartDate": "03/23/2011", "StartDocuments": [ "2011-021" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-10-127", "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": "12/15/2010", "StartDocuments": [ "2010-253" ], "TerminationDate": "06/15/2015", "TerminationDocuments": [ "2015-073" ], "DocketNumber": "AA-EC-10-106", "SubjectMatters": [] }, { "Institution": "Pacific National Bank", "CharterNumber": "20010", "Company": "", "Individual": "", "Location": "Miami, FL", "TypeCode": "C&D", "TypeDescription": 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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", 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[ "N/A" ], "DocketNumber": "AA-EC-90-156", "SubjectMatters": [] }, { "Institution": "Resourcebank, N.A.", "CharterNumber": "17903", "Company": "", "Individual": "Spencer, Barry B.", "Location": "Houston, TX", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "02/18/1992", "StartDocuments": [ "867" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-90-158", "SubjectMatters": [] }, { "Institution": "Resourcebank, National Association", "CharterNumber": "17903", "Company": "", "Individual": "Atlas, Sidney F.", "Location": "Houston, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "17500.00", "StartDate": "07/09/1991", "StartDocuments": [ "294" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-90-152", "SubjectMatters": [] }, { "Institution": "Resourcebank, National Association", "CharterNumber": "17903", "Company": "", "Individual": 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"TerminationDocuments": [ "2013-099" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Riverside National Bank", "CharterNumber": "20421", "Company": "", "Individual": "", "Location": "Grand Prairie, TX", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "06/17/1993", "StartDocuments": [ "93-149" ], "TerminationDate": "03/16/1994", "TerminationDocuments": [ "94-264" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Riverside National Bank of Florida", "CharterNumber": "17437", "Company": "", "Individual": "", "Location": "Fort Pierce, FL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "11/10/2009", "StartDocuments": [ "2009-185" ], "TerminationDate": "04/16/2010", "TerminationDocuments": [], "DocketNumber": "AA-EC-09-80", "SubjectMatters": [] }, { "Institution": "Riverside National Bank of Florida", "CharterNumber": 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"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": "Magalhaes, Dirceu P.", "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 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"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": "Palacci, Albert S.", "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": "Waller, Morris I.", "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": "Waller, Morris I.", "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": "Locci, Massimiliano", "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": "Locci, Massimiliano", "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": "Locci, Massimiliano", "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": "Acosta, Stanley", "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": "Andujar Velazquez, Francis", "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": "Cantos, Giacomo", "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": "Fitzgerald-Williams, Dayquan", "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": "Granado, Christine", "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": "Hughes, Caroline J.", "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": "Jones, Michael W.", "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": "McBride-Bey, Elijah", "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": "Mills, Walter F.", "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": "Mills, Walter F.", "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": "Sanchez, Amilcar", "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": "Sanguinetti, Kristin", "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": "Savage, Isha-Lee", "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": "Trujillo, Michael", "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": "Collier, Randy", "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": "Collier, Randy", "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": "Hansen, Lavon Ilene", "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": "Abrams, Richard", "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": "Aronson, Mitchell", "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": "Betancourt, Blas", "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": "Connell, Harold", "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": "Connell, Harold", "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": "Connell, Harold", "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": "Diez, Robert", "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": "Diez, Robert", "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": "Diez, Robert", "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": "Fernandez, Manual", "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": "Fernandez, Manual", "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": "Fernandez, Manuel", "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": "Harper, Floyd", "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": "Harper, Floyd", "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": "Harper, Floyd", "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": "Kenney, Timothy", "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": "Kenney, Timothy", "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": "Kenney, Timothy", "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": "Serlo, Larry", "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": "Serlo, Larry", "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": "Serlo, Larry", "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": "Moll, David L.", "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": "Moll, Marvin W.", "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": "Nordstrom, Marcie A.", "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": "Nordstrom, Paul H.", "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": "Gamble, S. 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"TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "02/01/1993", "StartDocuments": [ "93-353" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Security National Bank of Shreveport, Louisiana", "CharterNumber": "17223", "Company": "", "Individual": "Godfrey, Wesley", "Location": "Shreveport, LA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "100000.00", "StartDate": "12/14/1992", "StartDocuments": [ "825" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Security National Bank Of Superior", "CharterNumber": "14083", "Company": "", "Individual": "", "Location": "Superior, NE", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "01/12/1994", "StartDocuments": [ "94-4" ], "TerminationDate": "01/08/1998", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Security National Bank Of Superior", "CharterNumber": "14083", "Company": "", "Individual": "", "Location": "Superior, NE", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "04/05/1993", "StartDocuments": [ "93-88" ], "TerminationDate": "01/08/1998", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Security National Bank Of Superior", "CharterNumber": "14083", "Company": "", "Individual": "Myers, Harold S.", "Location": "Superior, NE", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "01/12/1994", "StartDocuments": [ "94-5" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Security National Bank Of Superior", "CharterNumber": "14083", "Company": "", "Individual": "Wright, Steven R.", "Location": "Superior, 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"CharterNumber": "24096", "Company": "", "Individual": "Ayala, Leonardo", "Location": "Wilmington, DE", "TypeCode": "1829", "TypeDescription": "1829 Prohibition Notification", "Amount": "0.00", "StartDate": "06/30/2026", "StartDocuments": [ "2026-18" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Violation Cited (Criminal Statute)" ] }, { "Institution": "TD Bank, National Association", "CharterNumber": "24096", "Company": "", "Individual": "Burnham, Jeffrey", "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 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"24096", "Company": "", "Individual": "Nova, Jorge", "Location": "Wilmington, DE", "TypeCode": "1829", "TypeDescription": "1829 Prohibition Notification", "Amount": "0.00", "StartDate": "01/13/2026", "StartDocuments": [ "2026-01" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Violation Cited (Criminal Statute)" ] }, { "Institution": "TD Bank, National Association", "CharterNumber": "24096", "Company": "", "Individual": "Rivera, Amalia", "Location": "Wilmington, DE", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "06/02/2025", "StartDocuments": [ "AA-ENF-2025-31" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-ENF-2025-31", "SubjectMatters": [ "Fraud/Forgery", "Insider Issues", "Theft / Misappropriation of Funds", "Theft/Misappropriation of Customer Info" ] }, { "Institution": "TD Bank, National Association", "CharterNumber": "24096", "Company": "", "Individual": "Rodriguez, Jhonnatan", "Location": "Wilmington, DE", "TypeCode": "1829", "TypeDescription": "1829 Prohibition Notification", "Amount": "0.00", "StartDate": "01/21/2026", "StartDocuments": [ "2026-03" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Violation Cited (Criminal Statute)" ] }, { "Institution": "TD Bank, National Association", "CharterNumber": "24096", "Company": "", "Individual": "Seck, Diape", "Location": "Wilmington, DE", "TypeCode": "1829", "TypeDescription": "1829 Prohibition Notification", "Amount": "0.00", "StartDate": "03/06/2024", "StartDocuments": [ "2024-05" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [ "Violation Cited (Criminal Statute)" ] }, { "Institution": "TD Bank, National Association", "CharterNumber": "24096", "Company": "", "Individual": "Serenot, Harold", "Location": "Wilmington, DE", "TypeCode": "Prohibition", "TypeDescription": 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"CharterNumber": "12308", "Company": "", "Individual": "Minton, Russ", "Location": "Frisco, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "10000.00", "StartDate": "12/23/2009", "StartDocuments": [ "2009-235" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-SO-09-94", "SubjectMatters": [] }, { "Institution": "Texas Republic Bank, National Association", "CharterNumber": "12308", "Company": "", "Individual": "Sparkman, Van D.", "Location": "Frisco, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1000.00", "StartDate": "01/06/2010", "StartDocuments": [ "2010-004" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-SO-09-96", "SubjectMatters": [] }, { "Institution": "Texas Republic Bank, National Association", "CharterNumber": "12308", "Company": "", "Individual": "Tabor, W. 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"TerminationDocuments": [ "2011-101" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The American National Bank of Mount Pleasant", "CharterNumber": "16799", "Company": "", "Individual": "", "Location": "Mount Pleasant, TX", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "03/28/2001", "StartDocuments": [ "2001-127" ], "TerminationDate": "04/02/2003", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The American National Bank of Nashwauk", "CharterNumber": "11579", "Company": "", "Individual": "", "Location": "Nashwauk, MN", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "02/11/1991", "StartDocuments": [ "182" ], "TerminationDate": "11/04/1992", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Bank National Association", "CharterNumber": "13770", "Company": "", "Individual": "", "Location": "McAlester, OK", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1200.00", "StartDate": "01/28/2011", "StartDocuments": [ "2011-004" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-SO-10-129", "SubjectMatters": [] }, { "Institution": "The Bank of East Asia, Limited", "CharterNumber": "80081", "Company": "", "Individual": "", "Location": "New York, NY", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "07/27/1992", "StartDocuments": [ "639" ], "TerminationDate": "07/27/1995", "TerminationDocuments": [ "95-38" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Bank of Maine", "CharterNumber": "706947", "Company": "", "Individual": "", "Location": "Portland, ME", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "06/21/2012", "StartDocuments": [ "2012-167" ], "TerminationDate": "10/14/2014", "TerminationDocuments": [ "2014-167" ], "DocketNumber": "", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Appraisals", "Asset Quality", "Board / Management Oversight", "Compliance Risk Management", "Consumer Law", "Enterprise Governance / Internal Controls / General Risk Management", "Lending Issues", "Loan Review", "OREO", "Other Lending Deficiencies", "Problem Loan Identification", "Strategic Planning" ] }, { "Institution": "The Bank of Miami, National Association", "CharterNumber": "15268", "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": "07/21/2010", "StartDocuments": [ "2010-161" ], "TerminationDate": "12/17/2010", "TerminationDocuments": [], "DocketNumber": "AA-EC-10-66", "SubjectMatters": [] }, { "Institution": "The Bank of Miami, National Association", "CharterNumber": "15268", "Company": "", "Individual": "", "Location": "Coral Gables, FL", "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": "Havel, David", "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": "Jenks, Bradley J.", "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": "Jenks, Bradley J.", "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": "Cook, William", "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": "Cook, William", "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": "Workman, Jeffrey", "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": "Workman, Jeffrey", "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": "Bein, Louis", "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": "Posey, Aaron", "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": "Stevenson, John B.", "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 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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": "Firestone, Ronald R.", "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": "Firestone, Ronald R.", "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": "Elliott, Donald C.", "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": "Gard, Laura Grotenhuis", "Location": "Casey, IL", "TypeCode": "C&D", "TypeDescription": 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"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": "Kirkland, Karen", "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": "Kirkland, Karen", "Location": "Lebanon, KY", "TypeCode": 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Agreement", "Amount": "0.00", "StartDate": "09/30/1998", "StartDocuments": [ "98-60" ], "TerminationDate": "12/15/1998", "TerminationDocuments": [ "98-84" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Community National Bank", "CharterNumber": "17595", "Company": "", "Individual": "", "Location": "Franklin, OH", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "10/19/2009", "StartDocuments": [ "2009-176" ], "TerminationDate": "12/31/2009", "TerminationDocuments": [ "2009-248" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The Community National Bank", "CharterNumber": "17595", "Company": "", "Individual": "", "Location": "Franklin, OH", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "06/19/2007", "StartDocuments": [ "2007-105" ], "TerminationDate": "10/19/2009", "TerminationDocuments": [ "2009-181" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The 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"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": "Fritz, Tony", "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", 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"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. 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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": "Lee, James T.", "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": "Lee, James T.", "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": "Lee, Jay H", "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": "Leonard, Mark", "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": "Leonard, Mark", "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": "Hartwig, Christopher R.", "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": "Lapke, John", "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": "Lapke, John", "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": "Lapke, Timothy J.", "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": "Lapke, Timothy J.", "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": "Greer, Jerry", "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": "Greer, Lanny", "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": "Greer, Lanny", "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": "Greer, Lanny", "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": "Greer, Lanny", "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": "Greer, Randell", "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": "Greer, Rex", "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": "McCowan, Jon Kristen", "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": "McCowan, Jon Kristen", "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": "Smith, Kenneth", "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": "Ferguson, John D.", "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": "Fraser, Charles D.", "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": "Brooker, Kenneth R.", "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": "Hollis, Jerry", "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": "Lucas, Joseph W.", "Location": "Mt. Pulaski, IL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1000.00", "StartDate": "11/04/2005", "StartDocuments": [ "2005-154" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank of Mt. Pulaski", "CharterNumber": "3839", "Company": "", "Individual": "McCauley, Delores L.", "Location": "Mt. Pulaski, IL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1000.00", "StartDate": "12/06/2005", "StartDocuments": [ "2005-166" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-CE-05-70", "SubjectMatters": [] }, { "Institution": "The First National Bank of Mt. Pulaski", "CharterNumber": "3839", "Company": "", "Individual": "Schmidt, J. Gene", "Location": "Mt. Pulaski, IL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3000.00", "StartDate": "11/04/2005", "StartDocuments": [ "2005-155" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank of Mt. Pulaski", "CharterNumber": "3839", "Company": "", "Individual": "Schmidt, J. Gene", "Location": "Mt. Pulaski, IL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2500.00", "StartDate": "07/08/2004", "StartDocuments": [ "2004-81" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-04-57", "SubjectMatters": [] }, { "Institution": "The First National Bank of Mt. Pulaski", "CharterNumber": "3839", "Company": "", "Individual": "Wubben, Julian", "Location": "Mt. Pulaski, IL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1000.00", "StartDate": "11/04/2005", "StartDocuments": [ "2005-156" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank Of Nashwauk", "CharterNumber": "10736", "Company": "", "Individual": "Latvala, Herbert L.", "Location": "Nashwauk, MN", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "03/27/1992", "StartDocuments": [ "502" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-MW-92-40", "SubjectMatters": [] }, { "Institution": "The First National Bank of Nashwauk", "CharterNumber": "10736", "Company": "", "Individual": "", "Location": "Nashwauk, MN", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "02/11/1991", "StartDocuments": [ "182" ], "TerminationDate": "01/31/1992", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank of New Holland", "CharterNumber": "7187", "Company": "", "Individual": "", "Location": "New Holland, OH", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "09/26/2006", "StartDocuments": [ "2006-108" ], "TerminationDate": "03/31/2008", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank of New Holland", "CharterNumber": "7187", "Company": "", "Individual": "", "Location": "New Holland, OH", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "01/26/2005", "StartDocuments": [ "2005-18" ], "TerminationDate": "09/26/2006", "TerminationDocuments": [ "2006-108" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank Of Newell", "CharterNumber": "10191", "Company": "", "Individual": "", "Location": "Newell, IA", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "07/21/1993", "StartDocuments": [ "93-204" ], "TerminationDate": "04/08/1994", "TerminationDocuments": [ "94-96" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank Of Newell", "CharterNumber": "10191", "Company": "", "Individual": "", "Location": "Newell, IA", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "06/25/1991", "StartDocuments": [ "573" ], "TerminationDate": "12/01/1994", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank Of Newell", "CharterNumber": "10191", "Company": "", "Individual": "Ellrich, Robert", "Location": "Newell, IA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2500.00", "StartDate": "06/25/1991", "StartDocuments": [ "582" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank Of Newell", "CharterNumber": "10191", "Company": "", "Individual": "Hill, Arlie J.", "Location": "Newell, IA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2500.00", "StartDate": "06/25/1991", "StartDocuments": [ "582" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank Of Newell", "CharterNumber": "10191", "Company": "", "Individual": "Hill, Brian L.", "Location": "Newell, IA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2500.00", "StartDate": "06/25/1991", "StartDocuments": [ "582" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank Of Newell", "CharterNumber": "10191", "Company": "", "Individual": "Hill, Gilbert D.", "Location": "Newell, IA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "5000.00", "StartDate": "06/25/1991", "StartDocuments": [ "582" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank Of Newell", "CharterNumber": "10191", "Company": "", "Individual": "Pedersen, Glen L.", "Location": "Newell, IA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2500.00", "StartDate": "06/25/1991", "StartDocuments": [ "582" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank of Newell", "CharterNumber": "10191", "Company": "", "Individual": "Wabeke, Cornelius", "Location": "Newell, IA", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2500.00", "StartDate": "06/25/1991", "StartDocuments": [ "582" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank of Newman Grove", "CharterNumber": "5282", "Company": "", "Individual": "", "Location": "Newman Grove, NE", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "02/09/2004", "StartDocuments": [ "2004-165" ], "TerminationDate": "01/10/2006", "TerminationDocuments": [ "2006-9" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank of Niagara", "CharterNumber": "11051", "Company": "", "Individual": "", "Location": "Niagara, WI", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "02/28/2012", "StartDocuments": [ "2012-057" ], "TerminationDate": "09/12/2013", "TerminationDocuments": [ "2013-159" ], "DocketNumber": "AA-CE-12-20", "SubjectMatters": [ "Affiliate Transactions (incl. Reg W)", "BSA Independent Testing/Audit", "BSA/AML", "Inaccurate / Incomplete / False Books and Records", "Lending Issues", "Loans to Insiders (incl. Reg O)" ] }, { "Institution": "The First National Bank of Niagara", "CharterNumber": "11051", "Company": "", "Individual": "Gunville, Robert", "Location": "Niagara, WI", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "30000.00", "StartDate": "08/17/2015", "StartDocuments": [ "2015-096" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-CE-2015-60", "SubjectMatters": [ "Noncompliance with Enforcement Action" ] }, { "Institution": "The First National Bank of Niagara", "CharterNumber": "11051", "Company": "", "Individual": "Gunville, Robert", "Location": "Niagara, WI", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "15000.00", "StartDate": "12/08/2014", "StartDocuments": [ "2014-162" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-CE-2014-63", "SubjectMatters": [ "Noncompliance with Enforcement Action" ] }, { "Institution": "The First National Bank of Niagara", "CharterNumber": "11051", "Company": "", "Individual": "Gunville, Robert", "Location": "Niagara, WI", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "04/08/2013", "StartDocuments": [ "2013-045" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-12-70", "SubjectMatters": [ "Affiliate Transactions (incl. Reg W)", "Breach of Fiduciary Duty", "Insider Issues", "Lending Issues", "Loans to Insiders (incl. Reg O)", "Nominee Lending", "Other Lending Deficiencies", "Overdrafts" ] }, { "Institution": "The First National Bank of Niagara", "CharterNumber": "11051", "Company": "", "Individual": "Gunville, Robert", "Location": "Niagara, WI", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "04/08/2013", "StartDocuments": [ "2013-045" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-12-70", "SubjectMatters": [ "Affiliate Transactions (incl. Reg W)", "Breach of Fiduciary Duty", "Insider Issues", "Lending Issues", "Loans to Insiders (incl. 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Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "12/01/2008", "StartDocuments": [ "2008-160" ], "TerminationDate": "02/01/2010", "TerminationDocuments": [], "DocketNumber": "AA-WE-08-46", "SubjectMatters": [] }, { "Institution": "The First National Bank of Valentine", "CharterNumber": "6378", "Company": "", "Individual": "", "Location": "Valentine, NE", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "08/19/2004", "StartDocuments": [ "2004-93" ], "TerminationDate": "08/09/2007", "TerminationDocuments": [ "2007-108" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank of Valentine", "CharterNumber": "6378", "Company": "", "Individual": "Medlock, Joanne", "Location": "Valentine, NE", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "12/21/2011", "StartDocuments": [ "2011-178" ], "TerminationDate": "", "TerminationDocuments": [], 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"Other Lending Deficiencies", "Problem Loan Identification", "Strategic Planning" ] }, { "Institution": "The First National Bank of Wamego", "CharterNumber": "3434", "Company": "", "Individual": "", "Location": "Wamego, KS", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "09/18/2002", "StartDocuments": [ "2002-81" ], "TerminationDate": "10/13/2005", "TerminationDocuments": [ "2005-148" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank Of Waterloo", "CharterNumber": "10180", "Company": "", "Individual": "Hoffmann, Robert A.", "Location": "Waterloo, IL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3000.00", "StartDate": "08/21/2000", "StartDocuments": [ "2000-79" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank Of Waterloo", "CharterNumber": "10180", "Company": "", "Individual": "Mehrmann, David A.", "Location": "Waterloo, IL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "3000.00", "StartDate": "08/25/2000", "StartDocuments": [ "2000-80" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank of Waterloo", "CharterNumber": "10180", "Company": "", "Individual": "", "Location": "Waterloo, IL", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2400.00", "StartDate": "08/16/2000", "StartDocuments": [ "2000-78" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank of Waverly", "CharterNumber": "5635", "Company": "", "Individual": "", "Location": "Waverly, OH", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "09/25/2024", "StartDocuments": [ "AA-CE-2024-64" ], "TerminationDate": "05/04/2026", "TerminationDocuments": [ "AA-CE-2026-25" ], "DocketNumber": "AA-CE-2024-64", "SubjectMatters": [ "Board / Management Oversight", "Capital", "Liquidity", "Sensitivity to Market Risk", "Strategic Planning" ] }, { "Institution": "The First National Bank of Waverly", "CharterNumber": "5635", "Company": "", "Individual": "", "Location": "Waverly, OH", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1540.00", "StartDate": "03/18/2013", "StartDocuments": [ "2013-030" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-CE-2013-6", "SubjectMatters": [ "Consumer Law", "Flood Insurance" ] }, { "Institution": "The First National Bank of Waverly", "CharterNumber": "5635", "Company": "", "Individual": "", "Location": "Waverly, OH", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "2800.00", "StartDate": "06/01/2005", "StartDocuments": [ "2005-56" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-CE-05-38", "SubjectMatters": [] }, { "Institution": "The First National Bank of Waverly", "CharterNumber": "5635", "Company": "", "Individual": "", "Location": "Waverly, OH", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "11/09/2004", "StartDocuments": [ "2004-135" ], "TerminationDate": "01/10/2006", "TerminationDocuments": [ "2006-10" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank of Wayne", "CharterNumber": "3392", "Company": "", "Individual": "", "Location": "Wayne, NE", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "12/08/2010", "StartDocuments": [ "2010-243" ], "TerminationDate": "02/27/2012", "TerminationDocuments": [ "2012-048" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "The First National Bank of Wayne", "CharterNumber": "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", "StartDocuments": [ "2012-139" ], "TerminationDate": "06/11/2013", "TerminationDocuments": [ "2013-086" ], "DocketNumber": "", "SubjectMatters": [ "Allowance for Losses (ALLL / ACL)", "Compliance Risk Management", "Consumer Law", "Credit/Collateral Exceptions", "Lending Issues", "Loan Review", "Other Lending Deficiencies", "Problem Loan Identification" ] }, { "Institution": "The First National Bank of Wellston", "CharterNumber": "3565", "Company": "", "Individual": "", "Location": "Wellston, OH", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "1540.00", "StartDate": "01/28/2011", "StartDocuments": [ "2011-018" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-10-128", "SubjectMatters": [] }, { "Institution": "The First National Bank of Williamson", "CharterNumber": "6830", "Company": "", "Individual": "", "Location": "Williamson, WV", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "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": "Jones, Jason", "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 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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": "Guerra, Veronica D.", "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": 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"SubjectMatters": [] }, { "Institution": "The Fulton County National Bank and Trust Company", "CharterNumber": "13765", "Company": "", "Individual": "Bookheimer, Clyde H.", "Location": "McConnellsburg, PA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "06/10/2008", "StartDocuments": [ "2008-058" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-08-15", "SubjectMatters": [] }, { "Institution": "The Fulton County National Bank and Trust Company", "CharterNumber": "13765", "Company": "", "Individual": "Bookheimer, Clyde H.", "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": "", 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"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 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"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": "Gwyn, Jody P.", "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": 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"TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-93-95", "SubjectMatters": [] }, { "Institution": "The Rushville National Bank", "CharterNumber": "1456", "Company": "", "Individual": "Snyder, John K.", "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": "Veatch, Robert", "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": "Stuart, James Michael", "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": "Ulrich, Douglas", "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": "Johnson, Dolores A.", "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": "Johnson, Don", "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": "Johnson, Donald M.", "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": "Johnson, Donald M.", "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": "Johnson, Donald M.", "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": "McKamy, Charles S.", "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": "Pitman, E.D.", "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": "Wilson, Mike", "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": "Bland, J.E.", "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": "Hauck, James", "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": "Ladig, Diane", "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": "Doyle, J. Michael", "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": "Malone, Dacey", "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": "Malone, Dacey", "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": "Formal Agreement", "Amount": "0.00", "StartDate": "12/17/1992", "StartDocuments": [ "782" ], "TerminationDate": "09/08/1994", "TerminationDocuments": [ "94-162" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Trans Pacific National Bank", "CharterNumber": "18358", "Company": "", "Individual": "", "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": "06/16/2010", "StartDocuments": [ "2010-133" ], "TerminationDate": "02/10/2014", "TerminationDocuments": [ "2014-020" ], "DocketNumber": "AA-WE-10-64", "SubjectMatters": [] }, { "Institution": "Transact Bank, National Association", "CharterNumber": "8004", "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": "03/30/2021", "StartDocuments": [ "2021-013" ], 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"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": "Mills, O. 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"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" ] }, { 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"TerminationDocuments": [ "2004-29" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Union Bank Of California", "CharterNumber": "21541", "Company": "", "Individual": "Kealiher, Danielle J.", "Location": "San Francisco, CA", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "02/01/2001", "StartDocuments": [ "2001-08" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Union Bank Of California", "CharterNumber": "21541", "Company": "", "Individual": "Kealiher, Danielle J.", "Location": "San Francisco, CA", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "6000.00", "StartDate": "02/01/2001", "StartDocuments": [ "2001-08" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Union Bank Of California, National Association", "CharterNumber": "21541", 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"TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "12/09/2005", "StartDocuments": [ "2005-177" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-05-59", "SubjectMatters": [] }, { "Institution": "Union Bank, 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": "08/14/2008", "StartDocuments": [ "2008-092" ], "TerminationDate": "08/14/2009", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Union Chelsea National Bank", "CharterNumber": "16629", "Company": "", "Individual": "", "Location": "New York, NY", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "11/12/1991", "StartDocuments": [ "410" ], "TerminationDate": "11/17/1994", "TerminationDocuments": [ 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"TypeDescription": "Civil Money Penalty (CMP)", "Amount": "500.00", "StartDate": "05/24/1990", "StartDocuments": [ "73" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Union National Bank", "CharterNumber": "7236", "Company": "", "Individual": "", "Location": "Elgin, IL", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)", "Amount": "0.00", "StartDate": "04/22/2010", "StartDocuments": [ "2010-071" ], "TerminationDate": "03/02/2016", "TerminationDocuments": [ "2016-032" ], "DocketNumber": "AA-EC-10-37", "SubjectMatters": [] }, { "Institution": "Union National Bank Of Arkansas, Little Rock, Arkansas", "CharterNumber": "13958", "Company": "", "Individual": "", "Location": "Little Rock, AR", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "500.00", "StartDate": "05/24/1990", "StartDocuments": [ "76" ], "TerminationDate": 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"Location": "Miami, FL", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "02/07/2000", "StartDocuments": [ "2000-24" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Union Planters Bank, N.A.", "CharterNumber": "13349", "Company": "", "Individual": "Adams, Tracy B.", "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": "Adams, Tracy B.", "Location": "Memphis, TN", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "02/07/2000", "StartDocuments": [ "2000-27" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Union Planters Bank, National Association", "CharterNumber": "13349", "Company": "", "Individual": "Bobb, Gregory", "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": "02/04/2009", "StartDocuments": [ "2009-009" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-08-09", "SubjectMatters": [] }, { "Institution": "Union Planters Bank, National Association", "CharterNumber": "13349", "Company": "", "Individual": "Malone, Janis", "Location": "Memphis, TN", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "03/17/2009", "StartDocuments": [ "2009-042" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-08-68", "SubjectMatters": [] }, { "Institution": "Union 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"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": "Rickman, Bobby W.", "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": "Golden, Sammie R.", "Location": "Memphis, TN", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "11/30/2000", "StartDocuments": [ "2000-107" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-00-25", "SubjectMatters": [] }, { "Institution": "United Americas Bank, National Association", "CharterNumber": "23781", "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": "10/07/2010", "StartDocuments": [ "2010-210" ], "TerminationDate": "12/17/2010", "TerminationDocuments": [], "DocketNumber": "AA-EC-10-85", "SubjectMatters": [] }, { "Institution": "United Americas Bank, National Association", "CharterNumber": "23781", "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": "02/23/2005", "StartDocuments": [ "2005-19" ], "TerminationDate": "11/17/2005", "TerminationDocuments": [ "2005-160" ], "DocketNumber": "", 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"TerminationDocuments": [ "2019-008" ], "DocketNumber": "AA-EC-2015-24", "SubjectMatters": [ "Breach of Fiduciary Duty", "Inaccurate / Incomplete / False Books and Records", "Lending Issues", "Other Lending Deficiencies", "Overdrafts" ] }, { "Institution": "United Americas Bank, National Association", "CharterNumber": "23781", "Company": "", "Individual": "Forment, Jorge L.", "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": "06/04/2015", "StartDocuments": [ "2015-068" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2015-23", "SubjectMatters": [ "Lending Issues", "Loans to Insiders (incl. 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"CharterNumber": "80082", "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": "02/29/2008", "StartDocuments": [ "2008-007" ], "TerminationDate": "07/28/2016", "TerminationDocuments": [ "2016-074" ], "DocketNumber": "AA-EC-08-07", "SubjectMatters": [] }, { "Institution": "United Bank For Africa PLC", "CharterNumber": "80082", "Company": "", "Individual": "", "Location": "New York, NY", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "500000.00", "StartDate": "05/02/2007", "StartDocuments": [ "2007-039" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-07-23", "SubjectMatters": [] }, { "Institution": "United Bank For Africa PLC", "CharterNumber": "80082", "Company": "", "Individual": "", "Location": "New York, NY", "TypeCode": "C&D", "TypeDescription": "Cease-and-Desist 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"DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Urban National Bank", "CharterNumber": "15035", "Company": "", "Individual": "", "Location": "Franklin Lakes, NJ", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "01/14/1992", "StartDocuments": [ "464" ], "TerminationDate": "08/16/1994", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Urban Trust Bank", "CharterNumber": "706859", "Company": "", "Individual": "", "Location": "Lake Mary, FL", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "07/18/2012", "StartDocuments": [ "2012-190" ], "TerminationDate": "11/12/2013", "TerminationDocuments": [ "2013-220" ], "DocketNumber": "", "SubjectMatters": [ "Asset Quality", "BSA Internal Controls", "BSA/AML", "Compliance Risk Management", "Consumer Law", "Flood Insurance", "Lending Issues", "Other Lending Deficiencies", "SAR/CTR Monitoring/Filing Issue", "Strategic 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"AA-ENF-2024-96" ], "DocketNumber": "AA-EC-2022-2", "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", "Third Party Risk Management" ] }, { "Institution": "USAA Federal Savings Bank", "CharterNumber": "707975", "Company": "", "Individual": "", "Location": "San Antonio, TX", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "60000000.00", "StartDate": "03/17/2022", "StartDocuments": [ "2022-009" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-2022-3", "SubjectMatters": [ "BSA Internal Controls", "BSA Program Violation / 12 CFR 21.21", "BSA SAR Violation / 12 CFR 21.11 or 163.180", "BSA Training", "BSA Violation Cited", 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"TerminationDate": "06/01/1997", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-SCP-92-04", "SubjectMatters": [] }, { "Institution": "Wachovia Bank, N.A.", "CharterNumber": "1559", "Company": "", "Individual": "Jackson, Ivy", "Location": "Winston-Salem, NC", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "12/17/1999", "StartDocuments": [ "99-108" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Wachovia Bank, N.A.", "CharterNumber": "1559", "Company": "", "Individual": "Jackson, Ivy", "Location": "Winston-Salem, NC", "TypeCode": "REST", "TypeDescription": "C&D or PC&D Requiring Restitution", "Amount": "4216.00", "StartDate": "12/17/1999", "StartDocuments": [ "99-108" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "", "SubjectMatters": [] }, { "Institution": "Wachovia Bank, N.A.", "CharterNumber": "1559", "Company": "", 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"SubjectMatters": [] }, { "Institution": "Wachovia Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "", "Location": "Charlotte, NC", "TypeCode": "FA", "TypeDescription": "Formal Agreement", "Amount": "0.00", "StartDate": "04/24/2008", "StartDocuments": [ "2008-028" ], "TerminationDate": "03/20/2010", "TerminationDocuments": [], "DocketNumber": "AA-EC-08-12", "SubjectMatters": [] }, { "Institution": "Wachovia Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Adams Hale, Colleen", "Location": "Charlotte, NC", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "11/14/2012", "StartDocuments": [ "2012-281" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-10-12", "SubjectMatters": [ "Breach of Fiduciary Duty", "Fraud/Forgery", "Inaccurate / Incomplete / False Books and Records", "Insider Issues", "Theft / Misappropriation of Funds" ] }, { 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"TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-06-01", "SubjectMatters": [] }, { "Institution": "Wachovia Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Dulaney, Isaac Demarcus", "Location": "Charlotte, NC", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "09/28/2007", "StartDocuments": [ "2007-138" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-07-66", "SubjectMatters": [] }, { "Institution": "Wachovia Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Frierson, Myron", "Location": "Charlotte, NC", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": "04/17/2007", "StartDocuments": [ "2007-076" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-06-119", "SubjectMatters": [] }, { "Institution": "Wachovia Bank, National 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Issues", "Theft / Misappropriation of Funds", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Wachovia Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "O'Brien, Patrick M.", "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": "02/27/2006", "StartDocuments": [ "2006-22" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-2006-07", "SubjectMatters": [] }, { "Institution": "Wachovia Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Pera, Linda", "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": "05/10/2010", "StartDocuments": [ "2010-141" ], "TerminationDate": "", "TerminationDocuments": [], "DocketNumber": "AA-EC-09-107", "SubjectMatters": [] }, { "Institution": "Wachovia Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Pera, Linda", "Location": "Charlotte, NC", "TypeCode": "CMP", "TypeDescription": "Civil Money Penalty (CMP)", "Amount": "4000.00", "StartDate": "05/10/2010", "StartDocuments": [ "2010-141" ], "TerminationDate": "N/A", "TerminationDocuments": [ "N/A" ], "DocketNumber": "AA-EC-09-107", "SubjectMatters": [] }, { "Institution": "Wachovia Bank, National Association", "CharterNumber": "1559", "Company": "", "Individual": "Reed, Thomas K.", "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": "Reed, Thomas K.", "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": "Richburg, Yvonnya Leann", "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": "Thorn, Albert", "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": "Williams, Maurice", "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": "Williams, Oral R.", "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": [] }, { 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"SubjectMatters": [] }, { "Institution": "Washington Federal Bank For Savings", "CharterNumber": "712269", "Company": "", "Individual": "Mandujano, Alicia", "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": "Torres, Cathy", "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": "Torres, Cathy", "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": "Torres, Cathy", "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": "Weston, Janice", "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 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"SubjectMatters": [] }, { "Institution": "Washington State Bank, National Association", "CharterNumber": "23709", "Company": "", "Individual": "Vinson, Paula R.", "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": "Ranzinger, Robert", "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. 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"24469", "Company": "", "Individual": "Carbonella, Stephen", "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": "Cowles, Jaime", "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": 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"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": "Cruz, Vilma H.", "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": "Hutchinson, Julie K.", "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": "Kirkman, Kristen L.", "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": "Lewis, Robert W.", "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": "Cicconi, Helene", "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": "Blueford, Leilani", "Location": "San Francisco, CA", "TypeCode": 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"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": "Niedwiecky, Emily", "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": "Novak, Erin L.", "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": "Parnell, Cheraye C.", "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": "Poulsen, Dennis Shane", "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": "Purvis, Khalidah", "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": "Raphaelson, Matthew", "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": "Raphaelson, Matthew", "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": "Reyna, Stephen", "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": "Riano-Vanegas, Walther", "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": "Riley, Ginger", "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": "Rivera, Jenice", "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": "Rivero, Mario", "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": "Rodriguez, Yesenia", "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": "Rodriguez Arango, Marco", "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": "Roman, Sara", "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": "Roman, Sara", "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": "Russ Anderson, Claudia", "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": "Russ Anderson, Claudia", "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": "Russ Anderson, Claudia", "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": 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(UDAP)", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Wells Fargo Bank, National Association", "CharterNumber": "1", "Company": "", "Individual": "Salomon, Jasmine", "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": "Smith, Teanna", "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 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"Strother, James", "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": "Strother, James", "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": "Stumpf, John", "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": "Stumpf, John", "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": "Swain, Shawna L.", "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": "Taylor, Nyema'sha", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", 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"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": "Vazquez, Norma", "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": "Welty, David", "Location": "Sioux Falls, SD", "TypeCode": "Prohibition", "TypeDescription": "Prohibition/Removal Orders", "Amount": "0.00", "StartDate": 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"Individual": "Miceli, Jerry F.", "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": "Regas, Allyson", "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 / 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Reg O)", "Other Lending Deficiencies", "Violation Cited (Criminal Statute)" ] }, { "Institution": "Western Springs National Bank and Trust", "CharterNumber": "15346", "Company": "", "Individual": "Regas, James A.", "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. 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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": 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