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12 U.S.C. § 4639 — Criminal penalty

Federal law — U.S. Code and appendices · legal_authorities

12 U.S.C. § 4639 — Criminal penalty

Whoever, being subject to an order in effect under [section 4636a of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title12-section4636a&num=0&edition=prelim), without the prior written approval of the Director, knowingly participates, directly or indirectly, in any manner (including by engaging in an activity specifically prohibited in such an order) in the conduct of the affairs of any regulated entity shall, notwithstanding [section 3571 of title 18](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title18-section3571&num=0&edition=prelim), be fined not more than $1,000,000, imprisoned for not more than 5 years, or both.

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Source file: Laws/federal/codes/united-states-code/title-12/section-4639-criminal-penalty--7a1480553c.md
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Source location: Title 12, Chapter 46, § 4639; chapter-046-government-sponsored-enterprises.md

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Federal law — U.S. Code and appendices · legal_authorities

12 U.S.C. § 4636a — Judicial review

**(a) Commencement** Any party to a proceeding under section 4631 11 So in original. Probably should be followed by a comma. 4513b, 4636, or 4636a of this title may obtain review of any final order issued under this chapter by filing in the United States Court of Appeals for the District of Columbia Circuit, within 30 days after the date of service of such order, a written petition praying that the order of the Director be modified, terminated, or set aside. The clerk of the court shall transmit a copy of the petition to the Director. **(b) Filing of record** Upon receiving a copy of a petition, the Director shall file in the court the record in the proceeding, as provided in [section 2112 of title 28](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title28-section2112&num=0&edition=prelim). **(c) Jurisdiction** Upon the filing of a petition, such court shall have jurisdiction, which upon the filing of the record by the Director shall (except as provided in the last sentence of [section 4633(b)(2) of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title12-section4633/b/2&num=0&edition=prelim)) be exclusive, to affirm, modify, terminate, or set aside, in whole or in part, the order of the Director. **(d) Review** Review of such proceedings shall be governed by chapter 7 of title 5. **(e) Order to pay penalty** Such court shall have the authority in any such review to order payment of any penalty imposed by the Director under this subchapter. **(f) No automatic stay** The commencement of proceedings for judicial review under this section shall not, unless specifically ordered by the court, operate as a stay of any order issued by the Director.

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Federal law — U.S. Code and appendices · legal_authorities

18 U.S.C. § 3571 — Sentence of fine

**(a) In General.—** A defendant who has been found guilty of an offense may be sentenced to pay a fine. **(b) Fines for Individuals.—** Except as provided in subsection (e) of this section, an individual who has been found guilty of an offense may be fined not more than the greatest of— (1) the amount specified in the law setting forth the offense; (2) the applicable amount under subsection (d) of this section; (3) for a felony, not more than $250,000; (4) for a misdemeanor resulting in death, not more than $250,000; (5) for a Class A misdemeanor that does not result in death, not more than $100,000; (6) for a Class B or C misdemeanor that does not result in death, not more than $5,000; or (7) for an infraction, not more than $5,000. **(c) Fines for Organizations.—** Except as provided in subsection (e) of this section, an organization that has been found guilty of an offense may be fined not more than the greatest of— (1) the amount specified in the law setting forth the offense; (2) the applicable amount under subsection (d) of this section; (3) for a felony, not more than $500,000; (4) for a misdemeanor resulting in death, not more than $500,000; (5) for a Class A misdemeanor that does not result in death, not more than $200,000; (6) for a Class B or C misdemeanor that does not result in death, not more than $10,000; and (7) for an infraction, not more than $10,000. **(d) Alternative Fine Based on Gain or Loss.—** If any person derives pecuniary gain from the offense, or if the offense results in pecuniary loss to a person other than the defendant, the defendant may be fined not more than the greater of twice the gross gain or twice the gross loss, unless imposition of a fine under this subsection would unduly complicate or prolong the sentencing pr

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Federal law — U.S. Code and appendices · legal_authorities

12 U.S.C. § 4638 — Removal and prohibition authority

**(a) Authority to issue order** (1) **In general** — The Director may serve upon a party described in paragraph (2), or any officer, director, or management of the Office of Finance a written notice of the intention of the Director to suspend or remove such party from office, or prohibit any further participation by such party, in any manner, in the conduct of the affairs of the regulated entity. (2) **Applicability** — A party described in this paragraph is an entity-affiliated party or any officer, director, or management of the Office of Finance, if the Director determines that— (A) that party, officer, or director has, directly or indirectly— (i) violated— (I) any law or regulation; (II) any cease and desist order which has become final; (III) any condition imposed in writing by the Director in connection with the grant of any application or other request by such regulated entity; or (IV) any written agreement between such regulated entity and the Director; (ii) engaged or participated in any unsafe or unsound practice in connection with any regulated entity or business institution; or (iii) committed or engaged in any act, omission, or practice which constitutes a breach of such party’s fiduciary duty; (B) by reason of the violation, practice, or breach described in subparagraph (A)— (i) such regulated entity or business institution has suffered or will probably suffer financial loss or other damage; or (ii) such party has received financial gain or other benefit; and (C) the violation, practice, or breach described in subparagraph (A)— (i) involves personal dishonesty on the part of such party; or (ii) demonstrates willful or continuing disregard by such party for the safety or soundness of

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Federal law — U.S. Code and appendices · legal_authorities

12 U.S.C. § 4640 — Notice after separation from service

The resignation, termination of employment or participation, or separation of an entity-affiliated party shall not affect the jurisdiction and authority of the Director to issue any notice and proceed under this subchapter against any such entity-affiliated party, if such notice is served before the end of the 6-year period beginning on the date such entity-affiliated party ceases to be associated with the regulated entity.

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Federal law — U.S. Code and appendices · legal_authorities

12 U.S.C. § 4639 — Public disclosure of final orders and

Page 1723 TITLE 12—BANKS AND BANKING § 4639 ning on the date such entity-affiliated party ceases to be associated with the regulated enti- ty. (Pub. L. 102–550, title XIII, § 1379, formerly § 1377, Oct. 28, 1992, 106 Stat. 3992; renumbered § 1379 and amended Pub. L. 110–289, div. A, title I, §§ 1153(a)(1), 1156(b)(1), 1157, July 30, 2008, 122 Stat. 2770, 2777.) Editorial Notes PRIOR PROVISIONS A prior section 1379 of Pub. L. 102–550 was renumbered section 1379B and is classified to section 4639 of this title. AMENDMENTS 2008—Pub. L. 110–289, § 1157(4), which directed the sub- stitution of ‘‘regulated entity.’’ for ‘‘enterprise.’’ could not be executed because of the prior amendment by Pub. L. 110–289, § 1156(b)(1). See below. Pub. L. 110–289, § 1157(3), which directed the substi- tution of ‘‘entity-affiliated party’’ for ‘‘director or offi- cer’’ wherever appearing, was executed by making the substitution for ‘‘director or executive officer’’ in two places, to reflect the probable intent of Congress. Pub. L. 110–289, § 1157(2), which directed the substi- tution of ‘‘an entity-affiliated party’’ for ‘‘a director or executive officer of an enterprise’’, was executed by making the substitution for ‘‘a director or executive of- ficer of a regulated entity’’, to reflect the probable in- tent of Congress and the prior amendment by Pub. L. 110–289, § 1156(b)(1). See below. Pub. L. 110–289, § 1157(1), substituted ‘‘6-year’’ for ‘‘2- year’’. Pub. L. 110–289, § 1156(b)(1), substituted ‘‘a regulated entity’’ for ‘‘an enterprise’’ and ‘‘the regulated entity’’ for ‘‘the enterprise’’. § 4638. Private rights of action This chapter shall not create any private right of action on behalf of any person against a regu- lated entity, or any director or executive

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