Exception Tracking Spreadsheet (TicklerTrax™)
Downloaded by more than 1,000 bankers. Free Excel spreadsheet to help you track missing and expiring documents for credit and loans, deposits, trusts, and more. Visualize your exception data in interactive charts and graphs. Provided by bank technology vendor, AccuSystems. Download TicklerTrax for free.
OCC releases enforcement actions
The OCC has released a list of enforcement actions against national banks, federal savings associations, and individuals now or formerly affiliated with such institutions.
- Neighborhood National Bank, San Diego, California, was assessed a civil money penalty for BSA/AML deficiencies
- First Niagara Bank, N.A., Buffalo, New York, was assessed a $43,000 civil money penalty for Flood Act violations (the order, released yesterday, was dated July 25, 2016)
- Two lenders, formerly affiliated with Barrington Bank & Trust Company, N.A., were each fined $5,000 and ordered to cease and desist, for sharing confidential customer information with a prospective new employer
- A former teller and ATM custodian for JPMorgan Chase Bank, N.A., Columbus, Ohio, was issued a consent order of prohibition after a finding that he stole $20,000 from the bank's ATMs.
- A former lead teller at Capital One, N.A., McLean, Virginia, was issued a consent order of prohibition after a finding that she stole $22,500 from a bank customer's account
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