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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
  • IAPs, including officers, directors, employees, controlling stockholders, agents, and certain other individuals

The Enforcement group serves as the OCC's counsel for formal investigations and enforcement actions.

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
Disclosure Officer
Suite 3E-218
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:

Enforcement Issuances

Related News and Issuances

09/21/2023 NR 2023-106 OCC Enforcement Actions and Terminations
08/17/2023 NR 2023-88 OCC Enforcement Actions and Terminations
07/25/2023 NR 2023-78 OCC Assesses $15 Million Civil Money Penalty Against American Express National Bank Related to Bank's Governance and Oversight of Third-Party Affiliate