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The OCC begins administrative litigation with the issuance of a Notice of Charges (Notice) served on a respondent. See 12 CFR 19.18.
Administrative litigation can proceed through discovery, motions practice, and hearing, presided over by an Administrative Law Judge (ALJ) for the Office of Financial Institution Adjudication (OFIA). The ALJ issues a recommended decision to the Comptroller. Before the Comptroller issues a final decision, the Parties can file exceptions to the recommended decision.
Find below timelines of selected events for certain litigated enforcement actions. The timelines are in reverse chronological order.
The OCC issued a Notice against five former senior executives of Wells Fargo Bank N.A. on January 23, 2020. The Notice includes allegations concerning the bank’s sales practices. Below is a timeline of the administrative litigation, followed by settlements with certain other individuals.
Public filings in this case are available at the OCC’s FOIA Reading Room
The OCC issued a Notice against the former chief compliance officer of Rabobank, N.A., Roseville, CA on April 16, 2018. Below is a timeline of the administrative litigation, followed by settlements with other individuals.
The OCC issued a Notice against two former officers and directors of a closed bank, First National Bank, Edinburg, TX, on September 25, 2017. Below is a timeline of the administrative litigation, followed by settlements with other individuals.