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Enforcement Actions

The OCC may take enforcement actions for violations of laws, rules or regulations, final orders or conditions imposed in writing; unsafe or unsound practices; and for breach of fiduciary duty by institution-affiliated parties (IAPs). We are authorized to take enforcement actions against:

  • National banks,
  • Federally chartered savings associations and their subsidiaries
  • Federal branches and agencies of foreign banks, and
  • IAPs, including officers, directors, employees, controlling stockholders, agents, and certain other individuals

Enforcement actions and agreements are available to the public. Search for these using our Enforcement Actions Search Tool.

Note: Enforcement actions taken against federally chartered savings associations prior to July 21, 2011, are only available in the OTS Enforcement Order Archive (XLS). For information about the data fields used in this spreadsheet, refer to the Enforcement Order Listing Definitions (PDF).

To obtain a paper copy of an order, agreement, or directive, you may submit a request electronically through the OCC's online FOIA site.

Freedom of Information Act (FOIA)
Comptroller of the Currency
Disclosure Officer
Suite 3E-218
Mail Stop 6W-11
Washington, DC 20219

Include: Banking organization name; individual (if any); Enforcement Action Number; your mailing address, fax number, and telephone number; and how you want to receive the document (mail, fax, or pick up).

What about financial institutions not regulated by the OCC?

Visit these Web sites:

Related News and Issuances
Publish DateIdentifierTitle
03/26/2015  OCC 2015-18, Economic Growth and Regulatory Paperwork Reduction Act of 1996: Regulatory Review to Identify Outdated, Unnecessary, or Unduly Burdensome Regulations
03/20/2015  NR 2015-41, OCC Enforcement Actions and Terminations for March 2015
02/27/2015  NR 2015-30, OCC Assesses $500,000 Civil Money Penalty Against First National Community Bank, Dunmore, Pennsylvania, for Bank Secrecy Act Violations