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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 through the OCC’s Legacy Thrift Information System.    

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

You can also request a paper copy via

Fax:  (202) 874-5274
Mail: Comptroller of the Currency
Communications Division
Mail Stop 2-3
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
01/18/2013  NR 2013-12, OCC Enforcement Actions
12/21/2012  NR 2012-179, OCC Enforcement Actions
11/16/2012  NR 2012-167, OCC Enforcement Actions