OCC Enforcement Actions and Terminations January 21, 2021
January 21, 2021 / Source: OCC
News Release 2021-13
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.
You can view the enforcement actions for this month by clicking on the enforcement action number. 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.
All public enforcement actions taken since August 1989 are available for download by viewing the searchable enforcement actions database at http://apps.occ.gov/EnforcementActions/.
Cease-and-Desist / Personal Cease-and-Desist Orders
|
No. |
Name/Bank/City |
State |
Date |
|---|---|---|---|
|
Bradley Lyon, Golden Pacific Bank, National Association, Sacramento |
California |
12/10/2020 |
|
|
James Strother, Wells Fargo Bank, National Association, Sioux Falls |
South Dakota |
1/13/2021 |
Civil Money Penalty Orders
|
No. |
Name/Bank/City |
State |
Date |
|---|---|---|---|
|
Bradley Lyon, Golden Pacific Bank, National Association, Sacramento |
California |
12/10/2020 |
|
|
USAA Federal Savings Bank, San Antonio |
Texas |
11/11/2020 |
|
|
James Strother, Wells Fargo Bank, National Association, Sioux Falls |
South Dakota |
1/13/2021 |
Notices Filed
|
No. |
Type/Bank/City/Old EA# |
State |
Date |
|---|---|---|---|
|
Neil Bassi, cfsbank, Charleroi |
Pennsylvania |
12/17/2020 |
Removal / Prohibition Orders
|
No. |
Type/Bank/City/Old EA# |
State |
Date |
|---|---|---|---|
|
Michelle Zeitner, First National Bank of Omaha, Omaha |
Nebraska |
12/11/2020 |
|
|
Sara Roman, Wells Fargo Bank, National Association, Sioux Falls |
South Dakota |
11/3/2020 |
|
|
Mark Johnson, HSBC Bank USA, National Association, McLean |
Virginia |
12/10/2020 |
Terminations of Existing Enforcement Actions
|
No. |
Type/Bank/City/Old EA# |
State |
Date |
|---|---|---|---|
|
C&D, Wells Fargo Bank, National Association, Sioux Falls (EA# 2015-125) |
South Dakota |
1/4/2021 |
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