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: