Enforcement Actions

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• December 16, 1997
  Order to Cease and Desist against Patti Colbourn
• December 8, 1997
  Final Decision and Order of Prohibition against Massimiliano Locci
• November 24, 1997
  Order of Prohibition against Eric C. Dill
• November 17, 1997
  First enforcement action addressing Y2K compliance against Putnam-Greene Financial
• November 7, 1997
  Order of Prohibition against Luis Carrizo
• November 7, 1997
  Order of Prohibition against Jose E. Romero Muniz
• October 21, 1997
  Order of Prohibition against Kang Soo Lee
• October 10, 1997
  Order of Removal and Prohibition against Gregory D. Cannon
• September 17, 1997
  Combined Consent Order and Order of Assessment of a Civil Money Penalty against Skandinaviska Enskilda Banken
• July 11, 1997
  Order of Assessment of a Civil Money Penalty against Postipankki Limited
• June 30, 1997
  Order to Cease and Desist against the Zia New Mexico Bank
• June 30, 1997
  Order of Prohibition against David A. Kuhn
• June 18, 1997
  Termination of a Written Agreement with John Widmer
• June 4, 1997
  Order to Cease and Desist against Michael Quinn
• June 3, 1997
  Order to Cease and Desist against Robert L. McCook
• June 3, 1997
  Order of Prohibition against Donald G. Austin
• May 30, 1997
  Assessment of a Civil Money Penalty against Toshihiko Araki
• May 22, 1997
  Consent orders of Assessment of Civil Money Penalties against Michael L. Riddle, John Averett, Park Jones, and T. Stuart Ducote
• May 21, 1997
  Written Agreement with Marin National Bancorp
• May 16, 1997
  Order of Prohibition against Francisco Moncaleano
• May 16, 1997
  Order to Cease and Desist against Kwai Por Au
• April 22, 1997
  Public administrative hearing on enforcement action against Park T. Jones
• April 18, 1997
  Order of Prohibition against Steven King
• April 15, 1997
  Order of Prohibition against Charles R. Vickery, Jr.
• April 4, 1997
  Cease and Desist Order against United Security Bancorporation
• April 4, 1997
  Order of Prohibition against Juan Echeverri
• March 28, 1997
  Order to Cease and Desist and Order of Assessment of a Civil Money Penalty against Grace Koo
• March 28, 1997
  Order against The International Commercial Bank of China
• March 28, 1997
  Combined Orders to Cease and Desist and Assessment of a Civil Money Penalty against Mark E. Schindler
• March 14, 1997
  Termination of eight prior enforcement actions
• March 7, 1997
  Combined Orders to Cease and Desist and Assessment of a Civil Money Penalty against Oliver Lu
• March 7, 1997
  Written Agreement with Luis A. Ortega
• March 7, 1997
  Combined Orders to Cease and Desist, Restitution, and Assessment of a Civil Money Penalty against John Gillogly
• March 3, 1997
  Order of Prohibition against Damian Cope
• February 13, 1997
  Combined Orders to Cease and Desist and Assessment of a Civil Money Penalty against Asahi Bank
• February 7, 1997
  Written Agreement with OmniBanc Corporation
• February 7, 1997
  Written Agreement with Cuyamaca Bank
• February 4, 1997
  Combined Orders to Cease and Desist and Assessment of a Civil Money Penalty against Ghaith R. Pharaon
• January 13, 1997
  Termination of three prior enforcement actions
• January 13, 1997
  Written Agreement with Pan American Bank
• January 6, 1997
  Combined Orders to Cease and Desist and Assessment of a Civil Money Penalty against Roberto A.F. Roberts
• January 6, 1997
  Order to Cease and Desist against Brian Gager
• January 3, 1997
  Combined Orders to Cease and Desist and Assessment of a Civil Money Penalty against Mark Yale

1997 Press Releases: