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 final actions by selecting the enforcement action 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.
| Cease and Desist Orders | ||
|---|---|---|
| No. | Name/Bank/City | Date |
| Connecticut | ||
| 2018-044 | UBS AG Stamford Branch, Stamford | 5/31/2018 |
| Florida | ||
| 2018-044 | UBS AG Miami Branch, Miami | 5/31/2018 |
| New York | ||
| 2018-044 | UBS AG NY 787 7th Ave WMA Branch, New York | 5/31/2018 |
| Civil Money Penalty Orders | ||
|---|---|---|
| No. | Name/Bank/City | Date |
| Florida | ||
| 2018-060 | Elden LeGaux, Gibraltar Private Bank & Trust Co., Coral Gables | 6/21/2018 |
| 2018-061 | William VanDresser, Gibraltar Private Bank & Trust Co., Coral Gables | 6/21/2018 |
| Oklahoma | ||
| 2018-045 | Mary Patricia Campbell, BOKF, National Association, Tulsa | 6/20/2018 |
| 2018-046 | Terri Lynn Pulley, BOKF, National Association, Tulsa | 6/20/2018 |
| 2018-047 | Cyndi Sue Wilkinson, BOKF, National Association, Tulsa | 6/20/2018 |
| Personal Cease and Desist Orders | ||
|---|---|---|
| No. | Name/Bank/City | Date |
| Oklahoma | ||
| 2018-045 | Mary Patricia Campbell, BOKF, National Association, Tulsa | 6/20/2018 |
| 2018-046 | Terri Lynn Pulley, BOKF, National Association, Tulsa | 6/20/2018 |
| Oregon | ||
| 2018-048 | Alexander Hamilton, High Desert Bank, Bend | 6/15/2018 |
| 2018-049 | Russell Schaub, High Desert Bank, Bend | 6/15/2018 |
| Removal / Prohibition Orders | ||
|---|---|---|
| No. | Name/Bank/City | Date |
| Delaware | ||
| 2018-047 | Cyndi Sue Wilkinson, BOKF, National Association, Tulsa | 6/20/2018 |
| Virginia | ||
| 2018-050 | Yeselin Sanchez, Capital One, National Association, Mclean | 6/27/2018 |
| Terminations of Existing Enforcement Actions | ||
|---|---|---|
| No. | Type/Bank/City/Old EA# | Date |
| California | ||
| 2018-051 | C&D, EH National Bank, Beverly Hills (EA# 2013-090) | 6/26/2018 |
| Kansas | ||
| 2018-052 | FA, The First National Bank of Beloit, Beloit (EA# 2015-035) | 5/24/2018 |
| New York | ||
| 2018-053 | FA, UBS Ag, New York (EA# 2017-033) | 5/31/2018 |
| Rhode Island | ||
| 2018-054 | C&D, Citizens Bank, National Association, Providence (EA# 2015-124) | 6/26/2018 |
| South Dakota | ||
| 2018-055 | C&D, Citibank, National Association, Sioux Falls (EA# 2014-160) | 6/28/2018 |
| 2018-056 | C&D, Wells Fargo Bank, National Association, Sioux Falls (EA# 2016-081) | 6/18/2018 |
| Tennessee | ||
| 2018-057 | C&D, First Tennessee Bank National Association, Memphis (EA# 2017-015) | 6/26/2018 |
| Virginia | ||
| 2018-058 | C&D, HSBC Bank USA, National Association, Mclean (EA# 2010-199) | 6/27/2018 |
| 2018-059 | C&D, HSBC Bank USA, National Association, Mclean (EA# 2012-261) | 6/27/2018 |