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://occ.secureocp.com. 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