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.

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://occ.secureocp.com 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

No. Name/Bank/City State Date

2020-029 Neighborhood National Bank, San Diego California 6/23/2020

2020-030 First Niagara Bank, National Association, Buffalo New York 7/25/2016

Civil Money Penalty Orders

No. Name/Bank/City State Date

2020-031 Michael Shara, Barrington Bank & Trust Company, National Association, Barrington Illinois 6/23/2020

2020-032 Jeffrey Wettstein, Barrington Bank & Trust Company, National Association, Barrington Illinois 6/23/2020

Formal Agreements

No. Name/Bank/City State Date

2020-033 First National Bank of Muscatine, Muscatine Iowa 6/16/2020

Notices Filed

No. Name/Bank/City State Date

N20-005 Biagio Maffettone, Citizens Bank, National Association, Providence Rhode Island 5/7/2020

N20-006 Denton Douglas, PNC Bank, National Association, Wilmington Delaware 6/22/2020

Personal Cease and Desist Orders

No. Name/Bank/City State Date

2020-031 Michael Shara, Barrington Bank & Trust Company, National Association, Barrington Illinois 6/23/2020

2020-032 Jeffrey Wettstein, Barrington Bank & Trust Company, National Association, Barrington Illinois 6/23/2020

Removal / Prohibition Orders

No. Name/Bank/City State Date

2020-034 Andres David Majano, JPMorgan Chase Bank, National Association, Columbus Ohio 6/8/2020

2020-035 Victoria Hart, Capital One, National Association, Mclean Virginia 7/1/2020