News Release 2019-92 | August 15, 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 | 2019-036 | MUFG Union Bank, National Association, San Francisco | California | 07/29/2019 |
| Bank Civil Money Penalty Orders | 2019-037 | Wilmington Savings Fund Society, Federal Savings Bank, Wilmington | Delaware | 06/13/2019 |
Civil Money Penalty Orders
| Action Type | No. | Name/Bank/City | State | Date |
|---|---|---|---|---|
| Civil Money Penalty Orders | 2019-035 | Chris Elkins, Simmons First National Bank, Pine Bluff | Arkansas | 07/23/2019 |
| Civil Money Penalty Orders | 2019-034 | Daniel Weiss, Rabobank, National Association, Roseville | California | 07/17/2019 |
| Civil Money Penalty Orders | 2019-043 | Carroll Green, Beauregard FSB, Deridder | Louisiana | 08/05/2019 |
| Civil Money Penalty Orders | 2019-044 | Rafeal Webb Stark, Beauregard FSB, Deridder | Louisiana | 08/05/2019 |
| Civil Money Penalty Orders | 2019-045 | Scott A. Heintzelman, The Northumberland National Bank, Northumberland | Pennsylvania | 08/01/2019 |
Formal Agreements
| Action Type | No. | Name/Bank/City | State | Date |
|---|---|---|---|---|
| Formal Agreements | 2019-038 | The First National Bank of Hope, Hope | Kansas | 07/17/2019 |
| Formal Agreements | 2019-039 | Sterling Bank and Trust, FSB, Southfield | Michigan | 06/18/2019 |
Notices Filed
| Action Type | No. | Name/Bank/City | State | Date |
|---|---|---|---|---|
| Notices Filed | N19-006 | William Brian Mulder, Firstar Bank, National Association, Sallisaw | Oklahoma | 07/11/2019 |
Personal Cease and Desist Orders
| Action Type | No. | Name/Bank/City | State | Date |
|---|---|---|---|---|
| Personal Cease and Desist Orders | 2019-035 | Chris Elkins, Simmons First National Bank, Pine Bluff | Arkansas | 07/23/2019 |
Removal/Prohibition Orders
| Action Type | No. | Name/Bank/City | State | Date |
|---|---|---|---|---|
| Removal/Prohibition Orders | 2019-034 | Daniel Weiss, Rabobank, National Association, Roseville | California | 07/17/2019 |
| Removal/Prohibition Orders | 2019-040 | Lisa Moore, First Niagara Bank, National Association, Buffalo | New York | 07/12/2019 |
| Removal/Prohibition Orders | 2019-041 | Jessica de la Caridad Suarez, Bank of America, National Association, Charlotte | North Carolina | 01/04/2019 |
| Removal/Prohibition Orders | 2019-045 | Scott A. Heintzelman, The Northumberland National Bank, Northumberland | Pennsylvania | 08/01/2019 |
| Removal/Prohibition Orders | 2019-042 | Lisandra Abreu, Wells Fargo Bank, National Association, Sioux Falls | South Dakota | 07/29/2019 |
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