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Enforcement Actions Search Tool

Formal enforcement actions taken by the OCC are available to the public through this Web site. Search for these using the Enforcement Actions Search Tool.
Note: Enforcement actions taken against federally chartered savings associations prior to July 21, 2011, are only available through the OCC’s Legacy Thrift Information System.

To search the OCC's formal enforcement actions, select one type of action or “All” types of actions by:

  • Institution or
  • Institution-affiliated party (IAP)
  • Year (and, optionally, a specific month)
  • Specific institution-affiliated party's (IAP's) name, or
  • Institution name

To view available documents, you will need Acrobat Reader. Download it free from the Adobe site.

Main Selections
Optional Selections

(Completed Actions)

The OCC supervises the following entities and has the statutory authority to take enforcement actions against them:

  • National banks and their subsidiaries
  • Federally chartered savings associations and their subsidiaries
  • Federal branches and agencies of foreign banks
  • Institution-affiliated parties (IAPs), including:
    1. Officers, directors, and employees
    2. A bank's controlling stockholders, agents, and certain other individuals.

Generally, the OCC may take formal enforcement actions 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, you may submit a request electronically through the OCC's online FOIA site. Fax requests should be sent to (202) 874-5274. You can also obtain copies by writing to the Comptroller of the Currency, Communications Division, Mail Stop 2-3, Washington, DC 20219. 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 institution 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: