News Release 2012-111 | July 20, 2012

OCC Enforcement Actions

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.

You may also submit a request electronically to obtain copies through the OCC's online FOIA site, https://foia-pal.occ.gov/palMain.aspx. Fax requests should be sent to (202)-874-5274. You can also obtain copies by writing to the Comptroller of the Currency, Communications Division, Mail Stop 2-3, Washington, DC 20219. When ordering, specify the appropriate enforcement action number.

Cease and Desist Orders
No. Name/Bank/City Date
Indiana
2012-126 Old National Bank, Evansville 6/4/2012
Kentucky
2012-127 The First National Bank of Manchester, Manchester 6/25/2012
Virginia
2012-152 Capital One Bank (USA), National Association, Glen Allen 7/17/2012
Wyoming
2012-128 Summit National Bank, Hulett 6/5/2012


 

Civil Money Penalty Orders
No. Name/Bank/City Date
California
2012-129 Jane Chu, Merchants Bank of California, National Association, Carson 6/27/2012
2012-130 Rod Garza, Merchants Bank of California, National Association, Carson 6/27/2012
2012-131 Daniel Roberts, Merchants Bank of California, National Association, Carson 6/27/2012
Maryland
2012-132 Presidential Bank, FSB, Bethesda 6/13/2012
Virginia
2012-153 Capital One Bank (USA), National Association, Glen Allen 7/17/2012


 

Formal Agreements
No. Name/Bank/City Date
Alabama
2012-133 Commonwealth National Bank, Mobile 6/15/2012
California
2012-134 Borrego Springs Bank, National Association, Borrego Springs 6/15/2012
Georgia
2012-135 Newton Federal Bank, Covington 5/29/2012
Illinois
2012-136 Central FS & LA of Chicago, Chicago 6/21/2012
2012-137 First Federal Savings Bank, Ottawa 6/8/2012
Missouri
2012-138 Clay County Savings Bank, Liberty 5/23/2012
Ohio
2012-139 The First National Bank of Wellston, Wellston 6/5/2012
South Carolina
2012-140 Pickens S & LA, FA, Pickens 5/7/2012


 

Personal Cease and Desist Orders
No. Name/Bank/City Date
California
2012-131 Daniel Roberts, Merchants Bank of California, National Association, Carson 6/27/2012


 

Removal / Prohibition Orders
No. Name/Bank/City Date
New York
2012-141 Yi Yi Zhao, Abacus Federal Savings Bank, New York 6/8/2012
North Carolina
2012-142 Thomas E. Durham, The First National Bank of Shelby, Shelby 5/23/2012
Wisconsin
2012-143 Bradley J. Jenks, The Baraboo National Bank, Baraboo 6/6/2012


 

Restitution Orders
No. Name/Bank/City Date
Virginia
2012-152 Capital One Bank (USA), National Association, Glen Allen 7/17/2012
Wisconsin
2012-142 Bradley J. Jenks, The Baraboo National Bank, Baraboo 6/6/2012


 

Terminations of Existing Enforcement Actions
No. Type/Bank/City/Old EA# Date
Arizona
2012-144 FA, Heritage Bank, National Association, Phoenix (EA# 2008-113) 6/7/2012
2012-145 FA, Meridian Bank, National Association, Wickenburg (EA# 2009-083) 6/20/2012
Colorado
2012-146   C&D, Canon National Bank, Canon City (EA# 2009-183) 5/31/2012
Illinois
2012-147 FA, Great Lakes Bank, National Association, Blue Island (EA# 2011-068) 6/19/2012
Kansas
2012-148 C&D, The Federal Savings Bank, Overland Park (EA# WM 11-006) 6/22/2012
Massachusetts
2012-149 FA, First Trade Union Bank, Boston (EA# SA) 5/30/2012
New York
2012-150 C&D, Chinatown Federal Savings Bank, New York (EA# NE 09-20) 5/31/2012
Wyoming
2012-151 C&D, First National Bank of Wyoming, Laramie (EA# 2009-217) 6/13/2012

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