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 enforcement actions
The OCC has issued a list of enforcement actions taken in November and December 2020 and January 2021 against OCC-supervised institutions and individuals now or formerly affiliated with such institutions. In addition to the previously announced civil money penalty and cease and desist order against the former General Counsel for Wells Fargo Bank, N.A., the list includes:
- a civil money penalty of $382,500 against USAA FSB, San Antonio, Texas, for Flood Act violations
- a civil money penalty of $10,000 against a former CFO of Golden Pacific Bank, N.A., Sacramento, California, for deliberately filing false Call Report data
- a prohibition order against a former mortgage specialist at First National Bank of Omaha, Omaha, Nebraska, for initiating unauthorized internal fund transfers totaling $10,233 from bank general ledger accounts to a personal mortgage account, and making false entries to conceal the transfers
- a Notice of Charges for a cease and desist order and a $30,000 civil money penalty against a former president, CEO and board chairman of cfsbank, Charleroi, Pennsylvania, involving significant overdraft activity of a bank customer, bank loans to that customer, and failure to supervise bank employees to whom he had delegated supervision of account overdrafts.