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Administrative Orders

Administrative Orders are formal enforcement orders issued by the NCUA pursuant to Section 206 of the Federal Credit Union Act (12 U.S.C. § 1786). Generally, the NCUA issues Administrative Orders when it finds that a credit union or persons affiliated with a credit union have violated a law, rule or regulation, breached a fiduciary duty, or engaged in an unsafe or unsound practice.

The three most common orders issued by the NCUA include:

  • An Order to Cease and Desist, which requires an institution or individual to take action (or refrain from taking action), including making restitution;
  • An Order of Prohibition, which prohibits an individual from ever working for a federally insured financial institution; and
  • An Order Assessing Civil Money Penalties, which requires an institution or individual to pay an assessed penalty amount.

Prior to the issuance of an Administrative Order, the Federal Credit Union Act provides due process rights, which include the ability to have an administrative hearing before the Office of Financial Institution Adjudication, and to appeal the agency's decision to issue an order to the U.S. Circuit Court of Appeals.

The NCUA also issues Notices of Prohibition to individuals under Section 205(d) of the Federal Credit Union Act (12 U.S.C. § 1785(d)). The notice advises an individual convicted of a criminal offense of the prohibitions resulting from their conviction. (Until recently the NCUA issued formal Notices of Prohibition, but in conformity with the other federal financial institution regulators, we are now issuing letter notices.)

Disclaimer: This platform is intended to provide access to the enforcement actions taken by the NCUA since 1991 in a searchable and downloadable format. It is not guaranteed to be comprehensive. The primary source for the enforcement actions are the NCUA's press releases and other official communications. The names of the individuals and financial institutions contained herein reflect the institutions' identities when the enforcement actions were finalized and do not necessarily represent their current identities.

This platform also includes notices issued by the NCUA since 2008 to individuals under Section 205(d) of the Federal Credit Union Act. Under the law, the prohibitions outlined in these notices may have expired and the individual might no longer be prohibited from holding a position at an insured credit union. Although the NCUA is making notices issued pursuant to 205(d) searchable and downloadable, users of this platform should conduct their own inquiry regarding the current status of any prohibition identified in this platform.

Enforcement actions issued by other federal financial institution regulators can be found at the following websites:

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Showing 1501 - 1525 of 1525 Results
Docket # Name and Relationship Institution City State Year
98-0613-II Singleton, Violet J.
Former Operations Manager of Christ HospitalFederal Credit Union
Christ HospitalFederal Credit Union N/A N/A 1998
91-1001I Silvia, Karen L.F.
An Institution Affiliated Party and Person Participating in the Affairs of the First Citizens Federal Credit Union
First Citizens Federal Credit Union N/A N/A 1991
91-1001III Bradford, Charles W.
An Institution Affiliated Party and Person Participating in the Affairs of Capitol Credit Union
Capitol Credit Union N/A N/A 1991
92-0901 V Romero, Isaac
Guadalupe Credit Union
Guadalupe Credit Union N/A N/A 1992
92-0901 I Thomas, Cletus P.
Rockland Federal Credit Union
Rockland Federal Credit Union N/A N/A 1992
12-0003-CO Sidley, Timothy T.
Order of Prohibition - Former Employee of Western Corporate Federal Credit Union
Western Corporate Federal Credit Union N/A N/A 2012
11-0054-R2 Hartley, Mary Carmen
Order of Prohibition - Former Employee of Mutual Diversified Employees Federal Credit Union
Mutual Diversified Employees Federal Credit Union N/A N/A 2012
12-0015-R2 Talbert, James M.
Order of Prohibition - Former Board Member and Institution - Affiliated Party of District Government Employees Federal Credit Union.
District Government Employees Federal Credit Union. N/A N/A 2012
03-0701-VI Abellon, Ibell
Former Loan Officer of Southland Credit Union
Southland Credit Union N/A N/A 2003
03-0602-VI MacLean, Connie M.
Searles Lake Federal Credit Union
Searles Lake Federal Credit Union N/A N/A 2003
04-0502-IV & Stipulations Northeast Arkansas Federal Credit Union
Cease and Desist Order
N/A N/A N/A 2004
03-0601-VI Tippins, April May
Former Loan Officer of 20th Century Fox Federal Credit Union
20th Century Fox Federal Credit Union N/A N/A 2003
02-0401-IV Sheppard, Ann
An Institution Affiliated Party and Person Participating in the Affairs of the Alliance Credit Union Fenton, Missouri
Alliance Credit Union Fenton N/A MO 2002
02-0301-II Williams, Saundra R.
Former manager of Local 1233 Federal Credit Union in Newark, New Jersey
Local 1233 Federal Credit Union in Newark N/A NJ 2002
02-0103-II Screvin, Jennifer
Former manager at the Division 819 Transit Employees Credit Union
Division 819 Transit Employees Credit Union N/A N/A 2002
02-0901-I Korean American Catholics Federal Credit Union
Cease and Desist Order
N/A N/A N/A 2002
12-0065-R3 Tyler, Brian
Notice of Prohibition - Former Employee of East Kentucky Employees Federal Credit Union
East Kentucky Employees Federal Credit Union N/A N/A 2012
09-0011-R1 Quattrone, Sharon
CCSE Federal Credit Union
CCSE Federal Credit Union N/A N/A 2009
05-0101-IV Northeast Arkansas Federal Credit Union
Cease and Desist Order
N/A N/A N/A 2005
07-0203-II Dover N.J. Spanish American FCU
Cease and Desist Order "Cease and Desist Terminated Aug. 2008"
N/A N/A N/A 2007
07-0601-IV Lipkin, Lauretta
Former Lending and Financial Services Manager, Capital Trust FCU
Capital Trust FCU N/A N/A 2007
07-0502-II Garden Savings Federal Credit Union
Cease and Desist Order ԃease and Desist Terminated Jan. 2008"
N/A N/A N/A 2007
07-0101-I Monette, Michael D.
Former collections supervisor of Vermont Federal Credit Union,
Vermont Federal Credit Union N/A VT 2007
07-0301-III Jacobson, Louise
Former President Peoples & Employees FCU
Peoples & Employees FCU N/A N/A 2007
06-0701-III Davis, Twyla M.
In the Matter of Former Manager Winston-Salem Police CU;
Winston-Salem Police CU N/A N/A 2006
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