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Orders By Type

Orders By Type

1st-quarter 2011 Regulatory Orders


The following table summarizes — by quarter and order type — orders issued by either the Federal Deposit Insurance Corporation, the Federal Reserve, the National Credit Union Administration, the Office of the Comptroller of the Currency or the Office of Thrift Supervision.
Order Type By Quarter

Type of Order Q1 2011 Q4 2010 Q3 2010 Q2 2010 Q1 2010 Q4 2009 Q3 2009 Q2 2009 Q1 2009 Q4 2008 Q3 2008
Adjudicated Decision and Order 0 1 1 0 0 0 0 2 0 0 0
Agreement (written and formal) 53 83 94 106 79 86 67 64 46 35 18
Capital Directive 2 2 2 0 1 2 1 1 0 0 0
Cease-and-Desist 104 104 116 158 137 162 98 86 65 56 24
Civil Money Penalty # 83 103 70 71 73 52 49 60 33 38 41
Civil Money Penalty $ $16.03 million $2.80 million $0.98 million $1.48 million $50.5 million $1.1 million $0.4 million $43.8 million $0.4 million $0.5 million n.a.
Cross Guarantee Liability 2 2 2 6 na na na na na na na
Noticed Filed 9 8 5 3 5 2 0 0 0 0 0
Order of Assessment 0 0 0 0 0 0 0 0 2 1 0
Order Granting Permission to File Application 3 8 9 5 1 6 0 0 0 0 0
Other 0 7 1 0 57 10 0 0 2 2 2
Prompt Corrective Action 21 14 21 33 26 20 10 10 3 0 2
Removal-Prohibition 76 88 121 68 57 63 31 39 24 28 22
Termination of Insurance 2 2 1 0 2 1 1 1 2 0 2
Termination Orders 73 52 54 53 16 8 0 0 0 0 0
Total 426 474 497 503 437 412 340* 326* *233 *189 *155
*revised to reflect additional data sources
The following table summarizes each type of order issued during the second quarter by the Federal Deposit Insurance Corporation, the Federal Reserve, the National Credit Union Adminstration, the Office of the Comptroller of the Currency or the Office of Thrift Supervision.
Q1 Order Type By Regulator

Order Type FDIC Fed NCUA OCC OTS Total
Agreement (written and formal) 0 25 0 17 11 53
Capital Directive 0 0 0 0 0 0
Cease-and-Desist 68 0 0 11 25 104
Civil Money Penalty 47 3 0 9 24 83
Cross Guarantee Liability 2 0 0 0 0 2
Notices Filed 5 0 4 0 0 9
Order Granting Permission to File Application 3 0 0 0 0 3
Prompt Corrective Action 15 4 0 1 1 21
Removal-and-Prohibition 17 0 0 39 20 76
Termination of Insurance 2 0 0 0 0 2
Other 50 0 0 12 11 73
Total 209 32 4 89 92 426

listings by: institution | order type | regulator | full listing | main Q1 2011 report page

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