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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
92-1101 V Wissman, Darrel L.
An Institution-Affiliated Party and Person Participating in the Affairs of the Holdrege Federal Credit Union
Holdrege Federal Credit Union N/A N/A 1992
17-0052-R2 Wombacher, Nicole
Former Employee of Your Choice Federal Credit Union
Your Choice Federal Credit Union Altoona PA 2017
18-0045-R1 Wong, Kam
Former Employee of Municipal Credit Union
Municipal Credit Union New York NY 2018
16-0142-R4 Wooten-Robb, Susan
Former Employee of CommunityAmerica Credit Union
CommunityAmerica Credit Union Lenexa KS 2016
07-1001-II Worona, Irene Nancy
Former Teller at Mercer County Community FCU, Sharon, Pennsylvania
Mercer County Community FCU Sharon PA 2008
98-1201-III Worthy, Ray A.
Former Manager and Treasurer Freight Handlers Federal Credit Union, New Orleans, Louisiana
Freight Handlers Federal Credit Union New Orleans LA 1998
05-1101-IV Wright, Katherine Lynn
Former Manager, Texas First United FCU, Fort Worth, Texas
Texas First United FCU Fort Worth TX 2005
05-0601-IV Wynn, Kathy
Former Manager, Natural State FCU, Searcy, AR;
Natural State FCU Searcy AR 2005
18-0078-R4 Yang, Savannah
Former Employee of Affinity Plus Federal Credit Union
Affinity Plus Federal Credit Union St. Paul MN 2018
17-0164-R3 Yarnall, Alexander
Former Employee of IBM Southeast Employees Credit Union
IBM Southeast Employees Credit Union Boca Raton FL 2017
97-0702-VI Ybarra, Isaac I.
A person participating in the affairs of ALCOA of Vernon Employees FCU, located in Vernon, California
ALCOA of Vernon Employees FCU Vernon CA 1997
15-0086-R1 Yeaw, Jessica
Former Employee of Horizons Federal Credit Union
Horizons Federal Credit Union Binghamton NY 2015
14-0032-R3 York, Karen
Former Employee of VA Hospital Federal Credit Union in Little Rock, Arkansas
VA Hospital Federal Credit Union Little Rock AR 2014
16-0057-R3 Young, Yvondia M. "Susan"
Former Employee of Heritage Trust Federal Credit Union
Heritage Trust Federal Credit Union Charleston SC 2016
12-0019-R4 Young, Jeannette L.
Order of Prohibition - Former Employee of Bluestem Community Credit Union in El Dorado, Kansas.
Bluestem Community Credit Union in El Dorado El Dorado KS 2012
12-0012-R3 Young, Michael John
Notice of Prohibition - Former Employee of? Alabama Central Credit Union in Birmingham, Alabama.
Alabama Central Credit Union Birmingham AL 2012
15-0171-R3 Zachary Community Federal Credit Union
Zachary Community Federal Credit Union
Zachary Community Federal Credit Union Zachary LA 2015
19-0132-WR Zanassi, Jennifer
Former Institution-Affiliated Party
Western Heritage Federal Credit Union Alliance NE 2020
15-0088-R3 Zes, Lindsey
Former Employee of VyStar Credit Union
VyStart Credit Union Jacksonville FL 2015
11-0032-R2 Zimmerman, Brian
Order of Prohibition - Former Manager of LEBCO Educators Federal Credit Union, Lebanon, Pennsylvania
LEBCO Educators Federal Credit Union Lebanon PA 2011
15-0089-R2 Zunk-Wolf, Karen
Former Employee of YS Federal Credit Union
YS Federal Credit Union Yellow Springs OH 2015
98-0101-I Polish & Slavic Federal Credit Union
Polish & Slavic Federal Credit Union
Polish & Slavic Federal Credit Union N/A N/A 1998
13-0039-R4 Bagumbayan Credit Union
Bagumbayan Credit Union in Chicago, Illinois
Bagumbayan Credit Union in Chicago Chicago IL 2013
11-0022-R2 Borinquen Federal Credit Union
Borinquen Federal Credit Union in Philadelphia, Pennsylvania
Borinquen Federal Credit Union in Philadelphia Philadelphia PA 2011
12-0027-R2 Montgomery County Teachers Federal Credit Union
Montgomery County Teachers Federal Credit Union in Derwood, Maryland
Montgomery County Teachers Federal Credit Union in Derwood Derwood MD 2012
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