OCC Enforcement Actions and Terminations

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.

You can view the enforcement actions for this month by clicking on the enforcement action number. 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.

All public enforcement actions taken since August 1989 are available for download by viewing the searchable enforcement actions database at http://apps.occ.gov/EnforcementActions/.

Cease-and-Desist / Personal Cease-and-Desist Orders

No. Name/Bank/City State Date

2020-073 Bradley Lyon, Golden Pacific Bank, National Association, Sacramento California 12/10/2020

2021-002 James Strother, Wells Fargo Bank, National Association, Sioux Falls South Dakota 1/13/2021

Civil Money Penalty Orders

No. Name/Bank/City State Date

2020-073 Bradley Lyon, Golden Pacific Bank, National Association, Sacramento California 12/10/2020

2020-074 USAA Federal Savings Bank, San Antonio Texas 11/11/2020

2021-002 James Strother, Wells Fargo Bank, National Association, Sioux Falls South Dakota 1/13/2021

Notices Filed

No. Type/Bank/City/Old EA# State Date

N20-009 Neil Bassi, cfsbank, Charleroi Pennsylvania 12/17/2020

Removal / Prohibition Orders

No. Type/Bank/City/Old EA# State Date

2020-075 Michelle Zeitner, First National Bank of Omaha, Omaha Nebraska 12/11/2020

2020-076 Sara Roman, Wells Fargo Bank, National Association, Sioux Falls South Dakota 11/3/2020

2020-077 Mark Johnson, HSBC Bank USA, National Association, McLean Virginia 12/10/2020

Terminations of Existing Enforcement Actions

No. Type/Bank/City/Old EA# State Date

2021-001 C&D, Wells Fargo Bank, National Association, Sioux Falls (EA# 2015-125) South Dakota 1/4/2021