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    Enforcement Actions

    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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    Main Selections
    Bank Actions      Definitions
    IAP Actions      Definitions
    Year
    Month
    Optional Selections
    IAP's Name
    (Last Only
    )
    Bank Name
           

    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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