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To search the OCC's formal enforcement actions,
select :
·
One type of action or "All" types of
actions for either
·
Banking organizations or
·
Institution-affiliated Parties
(IAPs),
·
The year (and, optionally, a specific
month);
·
Or, you can search by a specific
institution-affiliated party's (IAP's) name or
·
a banking organization's name
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The
OCC supervises the following entities and has the statutory authority to
take enforcement actions against them:
- National banks,
- Federal branches and agencies of foreign banks,
- Institution-affiliated
parties (IAPs), including:
a.
Officers, directors, and employees,
b.
A bank's controlling stockholders, agents, and
certain other individuals.
Generally, the OCC may take formal enforcement
actions against the above entities for violations of laws, rules or
regulations, unsafe or unsound practices, violations of final orders,
violations of conditions imposed in writing, and for IAP's breaches of
fiduciary duty.
All formal enforcement actions, except formal
agreements, entered into subsequent to August 8, 1989, have been public in
accordance with the Financial Institutions Reform, Recovery and
Enforcement Act of 1989. Formal agreements entered into subsequent to
November 29, 1990, have been public in accordance with the Crime Control
Act of 1990. In addition, securities enforcement actions before and after
August 8, 1989, are publicly available.
To
obtain a paper copy of an order, agreement, or directive, please e-mail
the Communications
Division or FAX
your request to the OCC's Public Disclosure Room at (202) 874-4448. Your
request should include name of the entity and the individual, if any, the
Enforcement Action Document Number (Doc. No.) listed in the last column,
and a method of sending the document to you (postal address, fax number,
or telephone number for arranging pick-up).
Enforcement
actions against financial institutions or their affiliated parties that
are not regulated by the OCC can be, or in the future will be, found at
the web site of the financial institutions' federal regulators:
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