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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
05-0301-III Brooks, Kristi L.
Former Employee, Georgia Power Northwest Federal Credit Union, Rome Georgia
N/A Rome GA 2005
02-1201-VI Winn, Toreno D.
Former "Institution-Affiliated Party"
N/A N/A N/A 2002
02-1002-IV Furbush, P. Michael.
Former Director
N/A N/A N/A 2002
00-0201-I Kim, Jae Gook
Respondent
N/A N/A N/A 2000
99-1102-I Paddock, Robert C.
Respondent
N/A N/A N/A 1999
97-0401-IV/VI Carter, Bruce,individually, and Prime Yield, Inc.
San Clemente, California Institution-affiliated parties Respondents.
N/A N/A N/A 1997
02-1001-IV Vansky, Iris R.
Former Manager
N/A N/A N/A 2002
02-0801-V Mueller, Edie J.
Former Manager
N/A N/A N/A 2002
01-0303-VI Hopp, Melanie
Respondent
N/A N/A N/A 2001
00-0602-III Bradshaw, Linda Glover
Respondent
N/A N/A N/A 2000
00-0601-III Hall, Mary Jane
Respondent
N/A N/A N/A 2000
05-0809-V NEBO Credit Union
Order of Assessment of Civil Money Penalty
N/A Spanish Fort UT 2005
05-0808-V California Lithuanian Credit Union
Order of Assessment of Civil Money Penalty
N/A Santa Monica CA 2005
05-0807-V Norton Community Credit Union
Order of Assessment of Civil Money Penalty
N/A San Bernardino CA 2005
05-0806-V Valley Oak Credit Union
Order of Assessment of Civil Money Penalty
N/A Three Rivers CA 2005
05-0803-IV Marine Credit Union
Order of Assessment of Civil Money Penalty
N/A Fond Fu Lac WI 2005
05-0803-III Hillcrest Credit Union
Order of Assessment of Civil Money Penalty
N/A Richmond Heights OH 2005
05-0802-V Hawaiian Tel Federal Credit Union
Order of Assessment of Civil Money Penalty
N/A Honolulu HI 2005
05-0802-IV Golden Key Federal Credit Union
Order of Assessment of Civil Money Penalty
N/A El Paso TX 2005
05-0802-III Members Advantage Credit Union
Order of Assessment of Civil Money Penalty
N/A Michigan City IN 2005
05-0801-III Jefferson County Employees Credit Union
Order of Assessment of Civil Money Penalty
N/A Birmingham AL 2005
05-0805-V Moapa Federal Credit Union
Order of Assessment of Civil Money Penalty
N/A Overton NV 2005
05-0804-V Arizona Federal Credit Union
Order of Assessment of Civil Money Penalty
N/A Phoenix AZ 2005
05-0804-III School Employees Lorain City Credit Union
Order of Assessment of Civil Money Penalty
N/A Elyra OH 2005
05-0803-V Hawaii State Federal Credit Union
Order of Assessment of Civil Money Penalty
N/A Honolulu HI 2005
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