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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
22-0102-ER Davis, Ashley N.
Former Employee
Newark Firemen Federal Credit Union Newark NJ 2022
21-0137-ER Noyes, Catalina
Former Employee
Loudoun Credit Union Leesburg VA 2022
22-0105-WR Shimanek, Judith
Former Employee
Ark City Teachers Credit Union Arkansas City KS 2022
22-0122-ER Yonkers Postal Employees Credit Union
Yonkers Postal Employees Credit Union
Yonkers Postal Employees Credit Union Yonkers NY 2022
23-0124-SR Gray, Nellie
Former Institution-Affiliated Party
Mississippi Central Federal Credit Union Morton MS 2023
23-0127-SR Lehman, Leah
Former Institution-Affiliated Party
Southern Pine Credit Union Valdosta GA 2023
23-0122-ER Baker, Jennifer
Former Institution-Affiliated Party
United Neighbors Federal Credit Union Watertown NY 2023
23-0121-WR Kastet, Kaitlin
Former Institution-Affiliated Party
Citizens Credit Union and First Community Credit Union Jamestown ND 2023
23-0119-ER Jordan, Sr., Shelton
Supervisory Committee Chairman
Portsmouth Schools Federal Credit Union Portsmouth VA 2023
23-0120-ER Kewalis, Tara
Former President and CEO
Skyline Financial Federal Credit Union Waterbury CT 2023
23-0108-ER Fisher, Randi Marie
Former Institution-Affiliated Party
Vantage Trust Federal Credit Union Wilkes Barre PA 2023
23-0107-ER Live Life Federal Credit Union
Live Life Federal Credit Union
Live Life Federal Credit Union Fraser MI 2023
23-0106-ER Rider, Shannon
Former Employee
Erie Times Federal Credit Union Erie PA 2023
22-0126-ER Gaudreau, Rachel
Former Institution-Affiliated Party
Westport Federal Credit Union Westport MA 2023
23-0101-ER Finkelstein, Gabriel Max
Former Institution-Affiliated Party
Genisys Credit Union Auburn Hills MI 2023
23-0103-WR Brooks, Meaghan
Former Employee
HAPO Community Credit Union Richland WA 2023
22-0113-ER Shorkey, Robert P.
Former Institution-Affiliated Party
DFCU Financial Dearborn MI 2023
22-0114-ER Navarro, Jorge
Former Institution-Affiliated Party
URW Community Federal Credit Union Danville VA 2023
23-0123-SR Phillips, Whitney
Former Institution-Affiliated Party
Mississippi Central Federal Credit Union Morton MS 2023
22-0127-ER Bradley, Amy
Former Institution-Affiliated Party
First Community Credit Union Jamestown ND 2023
23-0128-SR Gray, Brooke Lynn
Former Employee
City & Police Federal Credit Union Jacksonville FL 2023
23-0129-ER Velazquez, Melissa
Former Employee
Financial Resources Federal Credit Union Bridgewater NJ 2023
23-0132-ER Horne, Ryan Nicole
Former Employee
NASA Federal Credit Union Upper Marlboro MD 2023
23-0134-ER Nedow, Andrea Alice
Former Employee
Traverse Catholic Federal Credit Union Traverse City MI 2023
22-0124-ER Givens, Kelly
Former Institution-Affiliated Party
FedStar Federal Credit Union Salem VA 2024
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