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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 1401 - 1500 of 1532 Results
Docket # Name and Relationship Institution City State Year
97-0703-VI Simpson, Doris L.
First City Savings Federal Credit Union
First City Savings Federal Credit Union N/A N/A 1997
98-0401-II Brown, Jennifer
Jessop Employees FCU
Jessop Employees FCU N/A N/A 1998
98-0101-I Polish & Slavic Federal Credit Union
Polish & Slavic Federal Credit Union
Polish & Slavic Federal Credit Union N/A N/A 1998
98-0401-I Ramos, Candelaria
N.Y. State Psychiatric Institute Respondent
N.Y. State Psychiatric Institute Respondent N/A N/A 1998
98-0401-11 Majette, Eric
Institution-affiliated party of the NYB & FMC Federal Credit Union
NYB & FMC Federal Credit Union N/A N/A 1998
97-0401-I Baum, Leone;Burns, Lawrence; Kearse, John
CEDC Federal Credit Union
CEDC Federal Credit Union N/A N/A 1997
97-0303-IV Fouch, Michael J.
An Institution Affiliated Party and Person Participating in the Affairs of the Bay Area Medical Federal Credit Union
Bay Area Medical Federal Credit Union N/A N/A 1997
97-0302-IV Fouch, Pamela Sue
An Institution Affiliated Party and Person Participating in the Affairs of the Bay Area Medical Federal Credit Union
Bay Area Medical Federal Credit Union N/A N/A 1997
97-0301-III Singleton, Dean I.
Former manager of Champion Credit Union
Champion Credit Union N/A N/A 1997
97-0102 I Stewart, Myra
Former Manager of New York State Psychiatric Institute Employees Federal Credit Union
New York State Psychiatric Institute Employees Federal Credit Union N/A N/A 1997
97-12-2 Townsend, Bruce A.
Capital Corporate FCU
Capital Corporate FCU N/A N/A 1997
97-12-02-IV Norback, Julia Ann
Hamilton City Employees FCU
Hamilton City Employees FCU N/A N/A 1997
97-12-1 Brooke, J. Clayton
Capital Corporate FCU
Capital Corporate FCU N/A N/A 1997
97-12-01-V Magoon, Denise Marie
Mountain America Credit Union
Mountain America Credit Union N/A N/A 1997
97-06-01-VI Krueger, Larry Dean
An Institution Affiliated Party and Person Participating in the Affairs of the Shoreline Credit Union
Shoreline Credit Union N/A N/A 1997
98-3-01-III Roberson, Tommie L.
Orleans Public Schools Federal Credit Union
Orleans Public Schools Federal Credit Union N/A N/A 1998
98-3-01-I Guzman, Angel Rafael
Puerto Rican Employees Federal Credit Union
Puerto Rican Employees Federal Credit Union N/A N/A 1998
9802-01-III Myrick, Tina Marie
Transit Business Area Federal Credit Union
Transit Business Area Federal Credit Union N/A N/A 1998
98-1-01-II Mantooth-Patterson, Charlotte
C.H.E. Credit Union
C.H.E. Credit Union N/A N/A 1998
97-03-07-I Vasapolle, Lynn M.
Former officer of Barnstable Community Federal Credit Union ("BCFCU")
Barnstable Community Federal Credit Union ("BCFCU") N/A N/A 1997
97-03-03-I Devaney, Ambrose L.
Former co-founder and officer of Barnstable Community Federal Credit Union ("BCFCU")
Barnstable Community Federal Credit Union ("BCFCU") N/A N/A 1997
97-03-06-I O'Neil, Michael D.
Former officer, director, employee, attorney, committee member and independent contractor of Barnstable Community Federal Credit Union ("BCFCU")
Barnstable Community Federal Credit Union ("BCFCU") N/A N/A 1997
97-03-04-I Cohen, Robert
Former Attorney for Barnstable Community Federal Credit Union
Barnstable Community Federal Credit Union N/A N/A 1997
97-03-05-I Harris, Bruce N.
Former officer, director, employee, committee member and independent contractor of Barnstable Community Federal Credit Union ("BCFCU")
Barnstable Community Federal Credit Union ("BCFCU") N/A N/A 1997
96-1201-VI Tyson, John I.
Former Consumer Loan Department Manager of Hughes Aircraft Employees Federal Credit Union
Hughes Aircraft Employees Federal Credit Union N/A N/A 1996
96-1202IV Urbancic, Cathy M.
An Institution Affiliated Party and Person Participating in the Affairs of the Cleveland Heights Employees Credit Union
Cleveland Heights Employees Credit Union N/A N/A 1996
97-03-01-I Smith, James K.
Former co-founder and officer of Barnstable Community Federal Credit Union ("BCFCU")
Barnstable Community Federal Credit Union ("BCFCU") N/A N/A 1997
96-1201A-IV Krueger, Larry Dean
An Institution Affiliated Party and Person Participating in the Affairs of the Shoreline Credit Union
Shoreline Credit Union N/A N/A 1996
97-03-02-I Mangone, Richard D.
Former co-founder, chairman, officer and independent contractor of Barnstable Community Federal Credit Union ("BCFCU")
officer and independent contractor of Barnstable Community Federal Credit Union ("BCFCU") N/A N/A 1997
96-1203IV Henderson, Laura J.
An Institution Affiliated Party and Person Participating in the Affairs of the Cleveland Heights Employees Credit Union
Cleveland Heights Employees Credit Union N/A N/A 1996
96-1201-IV Braham, Paul A.
An Institution Affiliated Party and Person Participating in the Affairs of the Cleveland Heights Employees Credit Union
Cleveland Heights Employees Credit Union N/A N/A 1996
97-02-01-III Morrison, Jr., Paul F.
Former Manager of American Heritage Credit Union
American Heritage Credit Union N/A N/A 1997
96-1101-V Halverson, Scott D.
Universal Campus Credit Union
Universal Campus Credit Union N/A N/A 1996
96-0801-I Crosby, William W.
Former Manager of the Former First General Employees Federal Credit Union
First General Employees Federal Credit Union N/A N/A 1996
96-1102-1 Pressley, Janice
Northeastern Conference Federal Credit Union
Northeastern Conference Federal Credit Union N/A N/A 1997
96-10-01-II Leeson, Cynthia Porter
Former Treasurer/Manager of Anacostia Naval Federal Credit Union
Anacostia Naval Federal Credit Union N/A N/A 1996
96-10-01-III West, James W.
Former CEO of Tennessee Valley Employees Federal Credit Union
Tennessee Valley Employees Federal Credit Union N/A N/A 1996
96-1101-II Robinson, Pauline
Former Manager of WK Federal Credit Union
WK Federal Credit Union N/A N/A 1996
96-11-01-III Skipper, Martha
Former Treasurer/Manager of First Neshoba Federal Credit Union
First Neshoba Federal Credit Union N/A N/A 1996
96-1201-I Lavin, Paul B.
Former President of Warwick Credit Union
Warwick Credit Union N/A N/A 1996
96-1101II Seitz, Kathryn
Domestic Federal Credit Union
Domestic Federal Credit Union N/A N/A 1996
96-09-01-GC Christopher, Cooke B.("Christopher"); Fisher, Erik("Fisher") andSunderland, Thomas("Sunderland")
San Clemente Financial Group Securities, Inc., ("SCFGS"),
San Clemente Financial Group Securities, Inc. ("SCFGS") N/A N/A 1997
96-03-01-I Dominic, Roland J.
An Institution Affiliated Party and Person Participating in the Affairs of the IAG Federal Credit Union
IAG Federal Credit Union N/A N/A 1996
96-08-03-VI Williams, Angela
Newsprint Workers Federal Credit Union
Newsprint Workers Federal Credit Union N/A N/A 1996
96-07-02-V Devlin, Karla A.
San Isabel Federal Credit Union
San Isabel Federal Credit Union N/A N/A 1996
96-07-01-V Owens, Georgia L.
San Isabel Federal Credit Union
San Isabel Federal Credit Union N/A N/A 1996
96-09-01-I Merchant, Frederick A.
Myles Standish Federal Credit Union
Myles Standish Federal Credit Union N/A N/A 1996
96-08-01-II Sanders, Linda M.
An Institution Affiliated Party and Person Participating in the Affairs of the Ethicon Employees Federal Credit Union
Ethicon Employees Federal Credit Union N/A N/A 1996
94-0701 III Letourneau, Sherri
An Institution Affiliated Party and Person Participating in the Affairs of the Locoga Federal Credit Union
Locoga Federal Credit Union N/A N/A 1994
95-1101 I Anderson, Carl J.
An Institution Affiliated Party and Person Participating in the Affairs of the Ocean Spray Employees Federal Credit Union
Ocean Spray Employees Federal Credit Union N/A N/A 1995
94-0501 V Friend, Rosemary
An Institution Affiliated Party and Person Participating in the Affairs of the Electricians Local #347 Credit Union
Electricians Local #347 Credit Union N/A N/A 1994
95-0402 V Kramer, Joe
An Institution Affiliated Party and Person Participating in the Affairs of the Dakota Credit Union
Dakota Credit Union N/A N/A 1995
95-0201 III Elmore, Ellis
An Institution Affiliated Party and Person Participating in the Affairs of the Independent Credit Association Credit Union
Independent Credit Association Credit Union N/A N/A 1995
95-1101 III LeBlanc, Tammy L.
An Institution Affiliated Party and Person Participating in the Affairs of the Acadian Federal Credit Union
Acadian Federal Credit Union N/A N/A 1995
95-1102 IV Grimes, Cynthia L.
An Institution Affiliated Party and Person Participating in the Affairs of the Jefferson Proving Ground Employees Federal Credit Union
Jefferson Proving Ground Employees Federal Credit Union N/A N/A 1995
95-1101 IV Wenzel, Sr., Marvin
An Institution Affiliated Party and Person Participating in the Affairs of the Willow Run Federal Credit Union
Willow Run Federal Credit Union N/A N/A 1995
95-0101 V Dabney, James Winston
An Institution Affiliated Party and Person Participating in the Affairs of the Zia Credit Union
Zia Credit Union N/A N/A 1995
94-0401 V Montoya, Bernard
An Institution Affiliated Party and Person Participating in the Affairs of the Guadalupe Credit Union
Guadalupe Credit Union N/A N/A 1994
94-0101 IV Decker, Sara Kay
An Institution-Affiliated Party and Person Participating in the Affairs of the School Employees Credit Union
School Employees Credit Union N/A N/A 1994
93-0903 III Fields, Larry A.
An Institution Affiliated Party and Person Participating in the Affairs of the Florida Building Trades Federal Credit Union
Florida Building Trades Federal Credit Union N/A N/A 1993
93-0902 III Longtin, Gary
An Institution Affiliated Party and Person Participating in the Affairs of the Florida--USA Federal Credit Union
Florida--USA Federal Credit Union N/A N/A 1993
94-0101 III Davis, Brenda
An Institution Affiliated Party and Person Participating in the Affairs of the Independent Credit Association Credit Union
Independent Credit Association Credit Union N/A N/A 1994
93-1002 IV Flores, Elisa
An Institution-Affiliated Party and Person Participating in the Affairs of the Capital Area School Employees Credit Union
Capital Area School Employees Credit Union N/A N/A 1993
93-0901 VI Perkins, Marilyn J.
An Institution Affiliated Party and Person Participating in the Affairs of the Evergreen Federal Credit Union
Evergreen Federal Credit Union N/A N/A 1993
93-0901 III Dean, Susan Gaskey
An Institution Affiliated Party and Person Participating in the Affairs of the Food Lion Credit Association Credit Union
Food Lion Credit Association Credit Union N/A N/A 1993
93-0501 II Ricci, James W.
An Institution Affiliated Party and Person Participating in the Affairs of the Educational Systems Employees Federal Credit Union
Educational Systems Employees Federal Credit Union N/A N/A 1993
94-0202 VI Gabutin, Roselina M.
An Institution Affiliated Party and Person Participating in the Affairs of the Navmar Federal Credit Union
Navmar Federal Credit Union N/A N/A 1994
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
92-1101 IV Roche, Raymond R.
An Institution Affiliated Party and Person Participating in the Affairs of the O C Federal Credit Union
O C Federal Credit Union N/A N/A 1992
93-0201 IV Kus, Henry
An Institution Affiliated Party and Person Participating in the Affairs of the Pontiac Municipal Employees Credit Union
Pontiac Municipal Employees Credit Union N/A N/A 1993
92-1101 VI Hadley, Alan S.
An Institution Affiliated Party and Person Participating in the Affairs of the Deseret Federal Credit Union
Deseret Federal Credit Union N/A N/A 1992
93-0101III Fraley, Jeffrey Eric
Kentucky Telco Federal Credit Union
Kentucky Telco Federal Credit Union N/A N/A 1993
93-0202 IV Walker, Paul
An Institution Affiliated Party and Person Participating in the Affairs of the School District 144 Employees Federal Credit Union
School District 144 Employees Federal Credit Union N/A N/A 1993
93-0101IV Hahn, Arthur Alan
An Institution-Affiliated Party and Person Participating in the Affairs of the Papermakers Credit Union
Papermakers Credit Union N/A N/A 1993
91-1001VI Hadley, Blair F.
An Institution Affiliated Party and Person Participating in the Affairs of the Deseret Federal Credit Union
Deseret Federal Credit Union N/A N/A 1991
92-0902 V Talamante, Leroy Ramon
Guadalupe Credit Union
Guadalupe Credit Union N/A N/A 1992
00-12-03-VI Sunderland, Thomas H.
An Institution-Affiliated Party of San Clemente Securities
San Clemente Securities N/A N/A 2000
01-0301-II Hollis, III, Calvin V.
An Institution Affiliated Party and Person Participating in the Affairs of the DELMARVA FIFE FEDERAL CREDIT UNION
DELMARVA FIFE FEDERAL CREDIT UNION N/A N/A 2001
00-12-02-VI San Clemente Financial Group, Inc., aka San Clemente Financial Group Securities, Inc., aka San Clemente Securities, Inc.
An Institution-Affiliated Party
An Institution-Affiliated Party N/A N/A 2000
00-12-01-VI Christopher, Cooke B.
An Institution-AffiliatedParty of San Clemente Securities
San Clemente Securities N/A N/A 2000
00-06-01 Wagner, Reinhold
Former Manager, Consultant and Board Member of Waterside Federal Credit Union
Consultant and Board Member of Waterside Federal Credit Union N/A N/A 2000
99-0501-II Volpe, Gerald F.
A Person Participating in the Affairs of Jersey Metro Federal Credit Union
Jersey Metro Federal Credit Union N/A N/A 1999
99-0403-I Beckwith, Christie Marie
An Institution Affiliated Party and Person Participating in the Affairs of Bangor FCU
Bangor FCU N/A N/A 1999
99-0401-I Winzer, Joan
Former Manager of Middlesex Healthcare Federal Credit Union
Middlesex Healthcare Federal Credit Union N/A N/A 1999
99-0401-VI Galvin, Patricia A.
An Institution Affiliated Party and Person Participating in the Affairs of Oakland Airport FCU
Oakland Airport FCU N/A N/A 1999
99-0301-III Mann, L. Kathryn
A Person Participating In The Affairs Of Montgomery County Employees Credit Union
Montgomery County Employees Credit Union N/A N/A 1999
99-0201-VI Jackman, Ellis R.
An Institution Affiliated Party and Person Participating in the Affairs of the Blackfoot Educators Credit Union
Blackfoot Educators Credit Union N/A N/A 1999
99-0301-II Paramour, Lois
An Institution Affiliated Party and Person Participating in the Affairs of the AFSERCO STAFF Federal Credit Union
AFSERCO STAFF Federal Credit Union N/A N/A 1999
99-0201-III Johnson, Jerome
Manager of Tuskegee Federal Credit Union
Tuskegee Federal Credit Union N/A N/A 1999
9801-01-V Spruill, William G.
Oneok Credit Union
Oneok Credit Union N/A N/A 1998
9801-01-IV Sneed, Kimberly M.
County Wide Federal Credit Union
County Wide Federal Credit Union N/A N/A 1998
98-0901-V Willis, Stephen V.
Former Manager of First Central Credit Union
First Central Credit Union N/A N/A 1998
98-1001-IV Carver, Jr. ?Harry Daniel
An Institution Affiliated Party and Person Participating in the Affairs of the Inland Employees Federal Credit Union
Inland Employees Federal Credit Union N/A N/A 1998
98-0803-III Huggins, Mary G.
An Institution Affiliated Party and Person Participating in the Affairs of the Charleston Naval Shipyard FCU
Charleston Naval Shipyard FCU N/A N/A 1998
98-0804-III Fergins, Velta
Caddo Parish Teachers Federal Credit Union
Caddo Parish Teachers Federal Credit Union N/A N/A 1998
98-0901-I McCoy, Beverly
Former Manager of St. Agnes Hospital Employees Federal Credit Union
St. Agnes Hospital Employees Federal Credit Union N/A N/A 1998
98-0802-II Purvis, Rosemary
Former Assistant Manager of Lackawanna Diversified Federal Credit Union
Lackawanna Diversified Federal Credit Union N/A N/A 1998
98-0801-IV Brierton, Bonnie J.
Former President of Thorogood Credit Union
Thorogood Credit Union N/A N/A 1998
98-0801-II Vladika, Marlene
Former Manager of Lackawanna Diversified Federal Credit Union
Lackawanna Diversified Federal Credit Union N/A N/A 1998
98-0802-III Early, James Gary
An Institution Affiliated Party and Person Participating in the Affairs of the Charleston Naval Shipyard FCU
Charleston Naval Shipyard FCU N/A N/A 1998

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