Legal and Regulatory:
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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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 banking organization and the individual, if any, the Enforcement Action Number (EA No.) listed, 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:

• Federal Deposit Insurance Corporation for state chartered banks that are not members of the Federal Reserve System and insured branches of foreign banks.
  
• Board of Governors of the Federal Reserve System for state-chartered banks that are members of the Federal Reserve System, for bank holding companies and their nonbank subsidiaries, Edge Act and agreement corporations, and branches and agencies of foreign banking organizations operating in the United States and their parent banks.
  
• Office of Thrift Supervision for thrift institutions.
  
• National Credit Union Administration for credit unions.
  
• Securities and Exchange Commission for administration of the federal securities laws