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Board Report: 2014-SR-B-011 July 25, 2014

Enforcement Actions and Professional Liability Claims Against Institution-Affiliated Parties and Individuals Associated with Failed Institutions

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Agency Comments and OIG Evaluation

We provided a draft of this report to the FDIC, FRB, and OCC for review and comment and incorporated the agencies' comments into the final report, where appropriate.The agencies also provided written comments that we have included in their entirety in Appendix 4.

The FDIC, FRB, and OCC agreed with and described their planned actions to address the recommendations applicable to their respective agencies. Of the seven recommendations in this report, two were applicable to all three agencies, one was applicable to the FRB and OCC, and four were applicable to the FDIC.


We extend our appreciation to the FDIC, FRB, and OCC for the cooperation extended to our staff during the evaluation.  Major contributors to this report are listed in Appendix 5.

Fred W. Gibson, Jr.
Principal Deputy Inspector General
Federal Deposit Insurance Corporation
Mark Bialek
Inspector General
Board of Governors of the Federal Reserve System
and Consumer Financial Protection Bureau
Eric M. Thorson
Inspector General
Department of the Treasury