To access the significant orders and federal district court papers related to all matters that have proceeded to Orders to Show Cause, see the Orders to Show Cause Proceedings page.
| Subject(s) of Investigation and Order | Sanctions, including Civil Penalties, Disgorgement, and Compliance Measures | Description of Findings of Violations |
|---|---|---|
| Voltus, Inc. and Gregg Dixon, Docket No. IN21-10-000, Order Approving Stipulation and Consent Agreement, 190 FERC ¶ 61,008 (Jan. 6, 2025) | Disgorgement of $7,080,543 to MISO from Voltus; civil penalties to the United States Treasury of $10,919,457 from Voltus and $1,000,000 from Dixon; agreement to restrict Dixon’s role in Voltus going forward; compliance monitoring for two years, with an option for two additional years. |
The Commission approved the Stipulation and Consent Agreement (Agreement) between the Office of Enforcement (Enforcement) and Voltus, Inc. (Voltus) and Gregg Dixon (Dixon). The Agreement resolves Enforcement’s investigation into whether Dixon engaged in a fraudulent scheme in violation of the Commission’s Anti-Manipulation Rule, 18 C.F.R. § 1c.2, and/or caused Voltus to violate the MISO Tariff, by registering demand response resources without those resources’ knowledge or consent and clearing Load-Modifying Resource capacity that would not have performed if the resources were dispatched, during the period from October 1, 2016, and continuing through June 1, 2020. Voltus and Dixon stipulate to the facts in Section II of the Agreement, but neither admit nor deny the violations alleged in Section III of the Agreement. Voltus agrees to (a) disgorge $7,080,543 in revenue; (b) pay a civil penalty of $10,919,457 to the United States Treasury; and (c) provide compliance monitoring reports to Enforcement. Dixon agrees to pay a civil penalty of $1,000,000 to the United States Treasury and to step down from Voltus’s Board of Directors, along with other restrictions in his role with Voltus going forward. |
Total Civil Penalties assessed for all years 2007 to present: $897,308,839.
Total Civil Penalties does not include the $30,000,000 assessed in Hunter and overturned on jurisdictional grounds by the U.S. Court of Appeals for the District of Columbia Circuit. Total Civil Penalties against BP America Inc., et al. (Docket No. IN13-15) includes only the 2023 Commission-approved settlement amount of $10,750,000. Total Civil Penalties does not include penalties proposed or assessed in the following currently pending matters: $213,600,000 civil penalty against TGPNA, $1,000,000 civil penalty against Hall, and $2,000,000 civil penalty against Tran proposed in Total Gas & Power North America, et al. (Docket No. IN12-17-000); or $15,000,000 civil penalty assessed against Boyce Hydro Power LLC; or $20,160,000 civil penalty proposed against Rover Pipeline Company, LLC and Energy Transfer Partners, L.P. (Docket No. IN19-4-000); or $40,000,000 civil penalty proposed against Rover Pipeline Company, LLC and Energy Transfer Partners, L.P. (Docket No. IN17-4-000); or $600,000 civil penalty proposed against Ampersand Cranberry Lake Hydro LLC; or $25,000,000 civil penalty assessed against Ketchup Caddy, LLC and $1,500,000 civil penalty assessed against Philip Mango.
Total Disgorgement ordered for all years 2007 to present: $656,336,841.
Total Disgorgement does not include amounts ordered in the following currently pending matters: $9,180,000 proposed in Total Gas & Power North America, et al.; or $506,502 accessed against Philip Mango.
Total Other Payments ordered for all years 2007 to present: $188,150,573.
“Other payments” are defined as miscellaneous items ordered by the Commission that have a financial value, but are not considered a civil penalty or disgorgement. They include payments towards mitigation, enhancements, compliance activities, or a hurricane charitable fund. Payments included in this total are: $1,000,000 charitable donation ordered in Entergy Energy Services, Inc. in 2007; $1,000,000 in compliance plan improvements ordered in Duquesne Light Company in 2008; $2,000,000 in compliance plan improvements ordered in Edison Mission in 2008; $2,000,000 in mitigation and compliance plan improvements ordered in Grand River Dam Authority in 2011; $2,200,000 in public safety enhancements and computer system upgrades ordered in Erie Boulevard Hydropower, L.P. and Brookfield Power US Assets Management, LLC in 2014; $179,600,573 judgment in favor of PJM in a Texas state court in GreenHat Energy, LLC in 2022; $350,000 in compliance plan improvements ordered in ISO-New England, Inc. in 2022.
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