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NR 2016-48
Contact: (202) 649-6870

OCC Enforcement Actions and Terminations for April 2016

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://foia-pal.occ.gov/ or by writing to the Comptroller of the Currency, Communications Division, Suite 3E-218, Mail Stop 6W-11, Washington, DC 20219. When ordering, please specify the appropriate enforcement action number.

 

Cease and Desist Orders
No. Name/Bank/City Date
California
2016-035 Neighborhood National Bank, San Diego 3/24/2016
Ohio
2016-036 The Somerville National Bank, Somerville 3/29/2016
Virginia
2016-045 HSBC Bank USA, National Association, Mclean 4/12/2016

Civil Money Penalty Orders
No. Name/Bank/City Date
Arizona
2016-037 Steven J. Ellsworth, Valley Capital Bank, National Association, Mesa 3/23/2016
2016-037 Kevin W. Stevenson, Valley Capital Bank, National Association, Mesa 3/23/2016
Florida
2016-038 Charles Sanders, Gibraltar Private Bank & Trust Co., Coral Gables 3/15/2016
Virginia
2016-046 HSBC Bank USA, National Association, Mclean 4/12/2016

Removal / Prohibition Orders
No. Name/Bank/City Date
Alabama
2016-039 Robert Parrish, Superior Bank, Birmingham 3/17/2016
Arizona
2016-044 Steven J. Ellsworth, Valley Capital Bank, National Association, Mesa 3/23/2016
2016-044 Kevin W. Stevenson, Valley Capital Bank, National Association, Mesa 3/23/2016
Georgia
2016-040 Jeffrey Allen Farrell, First National Bank, Savannah 3/23/2016

Restitution Orders
No. Name/Bank/City Date
Arizona
2016-043 Steven J. Ellsworth, Valley Capital Bank, National Association, Mesa 3/23/2016
2016-043 Kevin W. Stevenson, Valley Capital Bank, National Association, Mesa 3/23/2016

Terminations of Existing Enforcement Actions
No. Type/Bank/City/Old EA# Date
California
2016-035 C&D, Neighborhood National Bank, San Diego (EA# 2010-069) 3/24/2016
Florida
2016-041 CD, Florida Capital Bank, National Association, Jacksonville (EA# 2010-167) 3/8/2016
Missouri
2016-042 FA, Jack Henry & Associates, Inc., Monett, (EA# 2013-181) 3/29/2016
Ohio
2016-036 FA, The Somerville National Bank, Somerville (EA# 2013-076) 3/29/2016
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