News Release 2019-138: OCC Enforcement Actions and Terminations
November 21, 2019 / Source: OCC
News Release 2019-138 | November 21, 2019
OCC Enforcement Actions and Terminations
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WASHINGTON—The Office of the Comptroller of the Currency (OCC) today released new enforcement actions taken against national banks, federal savings associations, and individuals currently and formerly affiliated with national banks and federal savings associations.
All Cease and Desist Orders, Civil Money Penalty Orders, and Removal/Prohibition Orders are issued with the consent of the parties, unless otherwise indicated as a Decision and Order issued by the Comptroller of the Currency.
Copies of the final actions are available for download by viewing the searchable database of all public enforcement actions taken since August 1989 at http://apps.occ.gov/EnforcementActions.
View the current actions by selecting the enforcement actions below. You may also submit a request electronically to obtain copies through the OCC's online FOIA site, https://foia-pal.occ.gov or by writing to the Comptroller of the Currency, Communications Division, Suite 3E-218, Washington, DC 20219. When ordering, please specify the appropriate enforcement action number.
Bank Civil Money Penalty Orders
|
Action Type |
No. |
Name/Bank/City |
State |
Date |
|---|---|---|---|---|
|
Bank Civil Money Penalty Orders |
Roseann McSorley, JPMorgan Chase Bank, National Association, Columbus |
Ohio |
10/28/2019 |
|
|
Bank Civil Money Penalty Orders |
Amie Dorman, Morgan Stanley Bank, N.A., Salt Lake City |
Utah |
09/30/2019 |
Formal Agreements
|
Action Type |
No. |
Name/Bank/City |
State |
Date |
|---|---|---|---|---|
|
Formal Agreements |
Beauregard FSB, Deridder |
Louisiana |
9/30/2019 |
Removal/Prohibition Orders
|
Action Type |
No. |
Name/Bank/City |
State |
Date |
|---|---|---|---|---|
|
Removal/Prohibition Orders |
Andreliqua Cannaday, Wells Fargo Bank, National Association, Sioux Falls |
South Dakota |
09/29/2019 |
Terminations of Existing Enforcement Actions
|
Action Type |
No. |
Type/Bank/City/Old EA# |
State |
Date |
|---|---|---|---|---|
|
Terminations of Existing Enforcement Actions |
C&D, Capital One Bank (USA), National Association, Glen Allen (EA# 2015-081) |
Virginia |
11/04/2019 |
|
|
Terminations of Existing Enforcement Actions |
C&D, Capital One, National Association, Mclean (EA# 2015-081) |