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
- IAPs, including officers, directors, employees, controlling stockholders, agents, and certain other individuals
In This Section
Note: Enforcement actions taken against federally chartered savings associations (thrifts) 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
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).
Financial Institutions not Regulated by the OCC
Visit these Websites to learn about enforcement actions against financial institutions supervised by other government agencies:
- Federal Deposit Insurance Corporation: 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: state-chartered banks that are members of the Federal Reserve System; 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.
- National Credit Union Administration: credit unions.
- Securities and Exchange Commission: federal securities laws
Related News and Issuances
|10/15/2020||NR 2020-136||OCC Enforcement Actions and Terminations|
|10/14/2020||NR 2020-135||OCC Assesses $85 Million Civil Money Penalty Against USAA|
|10/07/2020||NR 2020-132||OCC Assesses $400 Million Civil Money Penalty Against Citibank|