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In most enforcement litigation, the Comptroller of the Currency does not issue an order until after the presiding administrative law judge has issued a recommended decision and certified the record and Enforcement Counsel and Respondent(s) have filed exceptions to the recommended decision. See 12 CFR 19.38-40.
The Comptroller issues final decisions after the presiding administrative law judge issues a recommended decision and certifies the record and Enforcement Counsel and Respondent(s) have filed exceptions to the recommended decision. See 12 CFR 19.38-40.
OCC rules allow for Enforcement Counsel or Respondent(s) to move for an interlocutory review of an administrative law judge ruling by the Comptroller prior to the certification of the record. See 12 CFR 19.28. The Comptroller may review the administrative law judge's ruling when certain criteria are met and issue an order.
The Comptroller may issue other orders in accordance with his or her authority over the proceeding. See 12 CFR 19.4. Interlocutory or Non-Dispositive Orders are not issued in all cases and not all cases in which Interlocutory or Non-Dispositive Orders are issued will be resolved through a Final Decision by the Comptroller.
Comptroller's Decisions and Orders are accessible by clicking on the links in the table below.
Note: The litigation in which the orders below were issued may be ongoing.
AA-ENF-2021-23
In the Matter of Nyema’sha Taylor, Former Teller and Institution-Affiliated Party, Wells Fargo Bank, N.A., Sioux Falls South Dakota, Atlanta, Georgia Branch
AA-EC-2021-22
In the Matter of Addisha Jackson, Former Customer Service Representative, JPMorgan Chase Bank, National Association Columbus, Ohio
AA-EC-2021-11
In the Matter of Derline Cunningham, Former Retail Branch Manager and Officer, Citizens Bank, N.A. Providence, Rhode Island
AA-EC-2021-04
In the Matter of Jacqueline Brown, Former Senior Loan Processor, GN Bank, Chicago, Illinois
AA-EC-2020-39
In the Matter of Denton Douglas, Former Vice President of Business Banking, PNC Bank, N.A. Wilmington, Delaware
AA-EC-2020-38
In the Matter of Biagio Maffettone, Former Vice President and Home Mortgage Area Manager, Citizens Bank, N.A., Providence, Rhode Island
AA-EC-2019-82;
AA-EC-2019-81;
AA-EC-2019-71;
AA-EC-2019-72
In the Matter of Carrie Tolstedt, Former Head of the Community Bank
In the Matter of Claudia Russ Anderson, Former Community Bank Group Risk Officer
In the Matter of David Julian, Former Chief Auditor
In the Matter of Paul McLinko, Former Executive Audit Director
Wells Fargo Bank, N.A., Sioux Falls, South Dakota
AA-EC-2019-58
In the Matter of Christopher Sangster, former Branch Manager, South Central Bank, N.A. Chicago, Illinois
AA-EC-2019-43
In the Matter of William Brian Mulder, Former Senior Vice President, Firstar Bank, N.A., Sallisaw, Oklahoma (Now Known as Firstar Bank)
AA-EC-2019-11
In the Matter of Walter F. Mills, former Personal Banking Representative, Santander Bank, N.A., Wilmington, Delaware
AA-EC-2018-89
In the Matter of Hiren Patel, Former Chairman of the Board, Chief Executive Officer and Controlling Stockholder, The National Republic Bank of Chicago, Chicago, Illinois
AA-EC-2018-20
In the Matter of Laura Akahoshi, former Chief Compliance Officer, Rabobank, N.A., Roseville, California
AA-EC-2017-44; AA-EC-2017-45
In the Matter of Saul Ortega, Former Chief Financial Officer, Director, President, Chief Executive Officer, and Chairman of the Board In the Matter of David Rogers, Jr., Former Chairman of the Board, First National Bank, Edinburg, Texas
AA-EC-2017-03
In the Matter of Richard Usher, Former Head of EMEA FX Spot Trading, JP Morgan Chase Bank, N.A., Columbus, Ohio
AA-EC-2015-24
In the Matter of William R. Blanton, Former Director and Interim Chief Executive Officer and Vice Chairman, individually and as an institution-affiliated party, United Americas Bank, N.A., Atlanta, Georgia
AA-EC-2014-90
In the Matter of James E. Plack, individually and as a former institution-affiliated party of American Bank, Rockville, Maryland
AA-WE-2011-99
In the Matter of Borrego Springs Bank, N.A., Borrego Springs, California
AA-EC-2011-50
In the Matter of Patrick Adams, Former President and Chief Executive Officer T Bank, N.A., Dallas, Texas
OTS-AP-2010-03
In the Matter of Lawrence Dodge, Former Director, Co-Chief Executive Officer, and Institution Affiliated Party, American Sterling Bank, Sugar Creek, Missouri, OTS Docket 15909
AA-EC-2009-98
In the Matter of Louis A. DeNaples, Chairman of the Board and Director, First National Community Bank, Dunmore, Pennsylvania
AA-EC-2006-102
In the Matter of Carlos Loumiet, Esq., Equal Access to Justice Applicant
AA-EC-2006-53
In the Matter of Earl Ford McNaughton, Former President, Chief Executive Officer and Chairman of the Board, David Schimmele, Former Chief Financial Officer and Director, and Ted Walter, Former Loan Officer and Director, First National Bank of Fremont, Fremont, Indiana
AA-EC-2004-79
In the Matter of K. Patrick Kruchten, Chairman and CEO, Demian Kruchten, Director and Vice President, David Duhn, Director and President, Bruce Carr, Director and Vice President, First Integrity Bank, N.A., Staples, Minnesota
AA-EC-2004-05
In the Matter of Gregory P. Healey, Former Chairman and Chief Executive Officer, Cashgate, Inc., Former Independent Contractor of National State Bank of Metropolis, Metropolis, Illinois
AA-EC-2003-21
In the Matter of Sharonda L. Herndon, Former Employee, Bank of America, National Association, Charlotte, North Carolina
AA-EC-2001-15
In the Matter of Dale E. Washburn, Equal Access to Justice Applicant
AA-EC-2001-02
In the Matter of Daniel C. Cadle, Change-in-Bank-Control Applicant, Malta National Bank, Malta, Ohio
AA-EC-2000-40
In the Matter of Gene Ulrich, Former Senior Vice President and Senior Loan Officer, Susan Diehl McCarthy, Former Vice President and Loan Officer, Six Rivers National Bank, Eureka, California
AA-EC-2000-18 AA-EC-2000-19
In the Matter of Michael R. Morgan, Former Vice President and Director, Robert S. Morgan, Former Chairman of the Board, and Todd W. Morgan, Former Director, The First National Bank & Trust of Pipestone, Pipestone, Minnesota, and The First National Bank in Garretson, Garretson, South Dakota
AA-EC-2000-01
In the Matter of Fred A. Davis, Former President and Director, Malta National Bank, Malta, Ohio
AA-EC-1999-23
In the Matter of Carolyn D. Nelson, Former Assistant Vice President, Lone Star National Bank, Pharr, Texas
AA-EC-1999-01
In the Matter of Peter G. Weinstock, Esq., and Jeanne Breckinridge, Esq., Former Counsel to the Casey National Bank, Casey, Illinois
AA-EC-1997-07 AA-EC-1997-06 AA-EC-1997-05
In the Matter of Richard Salmon, Former Vice President, Bank of the Desert, N.A., Indio, California
AA-EC-1997-01
In the Matter of Massimilliano Locci, Former Employee, Instituto Bancario San Paolo Di Torino, New York, New York
AA-EC-1996-06 AA-EC-1996-05
In the Matter of Charles R. Vickery, Jr., Former Senior Chairman of the Board, First National Bank of Bellaire, Bellaire, Texas
AA-EC-1994-27
In the Matter of William Vasa, Former Employee, First National Bank of Southeast Denver, Denver, Colorado
AA-EC-1994-21
In the Matter of Consolidated Bank, N.A., Hialeah, Florida
AA-EC-1993-112
In the Matter of Janet F. Acker, Change in Bank Control Applicant, Interstate National Bank, Dallas, Texas
AA-EC-1993-91
In the Matter of John R. Givens, Equal Access to Justice Applicant, U.S. National Bank of Clayton, St. Louis, Missouri
AA-EC-1993-83
In the Matter of Notice of Change in Bank Control, Crown Charter National Bank, Dallas, Texas
AA-EC-1993-74 AA-EC-1993-73
In the Matter of Paul Lowder, Former Director, Agent, and Institution-affiliated party, First National Bank in Kaufman, Kaufman, Texas
AA-EC-1993-43 AA-EC-1993-42
In the Matter of Edward Towe, Former President and Director, and Thomas Towe, Former Director and Chairman of the Board of Directors, First National Bank & Trust, Wibaux, Montana
AA-EC-1992-147
In the Matter of Notice of Disapproval of Change in Bank Control, United Commerce Bank of Highland Village, N.A., Highland Village, Texas
AA-EC-1992-115
In the Matter of Augustus I. Cavallari, Participating in the Affairs of Summit National Bank, Torrington, Connecticut (Insolvent)
AA-EC-1992-107
In the Matter of E.B. Chester, Jr., Former Director, Paul W. Powers, Former Chairman, Jerome M. Hause, Former President, Branson Hobbs, Byron A. Rose, Donald P. Hettermann, R. Edgar Johnson, and Peyton F. Perry, Former Directors of Cherry Creek National Bank, Denver, Colorado (Failed)
AA-EC-1992-102
In the Matter of First National Bank of Chicago, Chicago, Illinois
AA-EC-1992-21
In the Matter of Michael A. O'Connell, Former President and Director, Metropolitan National Bank, McAllen, Texas
AA-EC-1991-190
In the Matter of Wesley Godfrey, Jr., Former Officer and Director, Security National Bank, Shreveport, Louisiana
AA-EC-1991-175
In the Matter of Mark D. Dunlap, Chairman of the Board, President, and Chief Executive Officer, New Richmond National Bank, New Richmond, Ohio
AA-EC-1991-153
In the Matter of Preston J. Brooks, Former President and Chairman of the Board, First National Bank of Deport, Deport, Texas
AA-MW-1991-136
In the Matter of John R. Givens, Former President and Director, U.S. National Bank of Clayton, St. Louis, Missouri
AA-EC-1991-132 AA-EC-1991-131
In the Matter of John C. Riddle, Director, Texas National Bank, Houston, Texas
AA-EC-1988-89 AA-EC-1990-91 AA-EC-1992-93
In the Matter of Texas National Bank, Baytown, Texas, Mayde Creek Bank, N.A., Katy, Texas, First National Bank of Bellaire, Bellaire, Texas
In the Matter of Carlos Loumiet, Esq., Former Counsel to Hamilton Bank, N.A. (Closed), Miami, Florida