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Enforcement

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For bank, credit union, or money transmitter enforcement actions, please contact the Division at web.dfi@com.state.oh.us

Division of Financial Institutions Final Orders and Enforcement Actions

A Notice of Intent/Opportunity for Hearing details allegations by the Division of Financial Institutions for potential violation(s) of the Ohio Revised Code within its jurisdiction and gives a respondent notice of the right to an administrative hearing.  A Notice of Intent/Opportunity for Hearing is a public record, but does not represent the final determination in a pending matter.

Final orders contain findings and represent the final disposition of a matter pending before the Division. All final orders of the Division contain appeal rights to common pleas courts within a specific time period as provided for in Ohio Revised Code Chapter 119.

While the majority of issues for which the Division takes administrative enforcement action pertain to matters of compliance, there are certain matters that require referrals for prosecution. The Division’s ability to investigate financial abuse, fraud, and violations of law in the mortgage industry is governed by the Ohio Revised Code. The Superintendent has the authority to coordinate investigations with other financial regulatory entities and the discretion to refer matters for civil and criminal prosecutions. By statute, the Superintendent is granted administrative subpoena power in connection with Division investigations.