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

Wheelabrator Claremont Company, L.P. Docket No. IN18-10-000, Order Approving Stipulation and Consent Agreement, 164 FERC ¶ 61,237  (September 28, 2018)

Disgorgement of $107,231.34, including interest, to ISO-NE. Civil Penalty of $250,000 to the United States Treasury. The Commission issued an Order approving a Stipulation and Consent Agreement (Agreement) between the Office of Enforcement (Enforcement) and Wheelabrator Claremont Company, L.P. (Wheelabrator). The Agreement resolves the investigation conducted by Enforcement into whether Wheelabrator violated the ISO New England Inc. Tariff, Market Rule 1 § III.13 (Forward Capacity Market) by continuing to collect Forward Capacity payments for a resource even after that resource had been closed permanently. Wheelabrator admits to the facts and the violation set forth in the Agreement.
Entergy Nuclear Power Marketing, LLC, Docket No. IN18-5-000, Order Approving Stipulation and Consent Agreement, 164 FERC ¶ 61,051  (July 25, 2018) Disgorgement of $47,084, plus $8,280.48 interest, to ISO-NE. Civil Penalty of $115,000 to the United States Treasury. The Commission issued an Order approving a Stipulation and Consent Agreement (Agreement) between the Office of Enforcement (Enforcement) and Entergy Nuclear Power Marketing, LLC (ENPM). The Agreement resolves the investigation conducted by Enforcement into whether ENPM violated 18 C.F.R. §§ 35.41(a) and (b) and ISO New England Inc.’s (ISO-NE) Tariff, Market Rule 1 § III.13.6.1.1.1 (“Energy Market Offer Requirements”) and § III.1.10.1A(d) (“Day Ahead Energy Market Scheduling”) when ENPM: 1) failed to timely act in response to a natural gas pipeline notice restricting interruptible fuel transportation service, leading ENPM to have insufficient fuel to meet dispatch instructions at one gas-fired power plant, and 2) failed to timely update its open supply offer or otherwise notify ISO-NE of its potential inability to meet dispatch instructions after the notice was issued. Entergy admits to the facts set forth in the Agreement, but neither admits nor denies the violations.
 
Footprint Power LLC and Footprint Power Salem Harbor Operations LLC, Docket No. IN18-7-000, Order to Show Cause and Notice of Proposed Penalty, 163 FERC ¶ 61,198(Jun. 18, 2018) Proposed civil penalty in the amount of $4,200,000 and disgorgement in the amount of $2,049,571 The Commission issued an Order to Show Cause directing Footprint Power LLC and Footprint Power Salem Harbor Operations LLC (Respondents) to show the Commission why they should not be found to have violated (i) the Transmission, Markets and Services Tariff of ISO-New England, Inc. (ISO-NE), Market Rule 1, §§ III.1.7.20(b) and (f), III.1.10.1A(d), and III.13.6.1.1.2, and (ii) 18 C.F.R. §§ 35.41(a) and (b) (2017) by submitting what the Office of Enforcement has concluded were false and misleading supply offers and false or misleading and/or omitting material information about Footprint’s capacity resource—Unit 4 of Footprint’s multi-unit Salem Harbor Power Plant in Salem, Massachusetts and by failing to report the fuel status and related operational status of the capacity resource in communications to ISO-NE in June and July of 2013. Finally, the Order to Show Cause directs the Respondents to show cause why disgorgement and civil penalties should not be assessed for the violations alleged by Enforcement Staff.
Duke Energy Corporation, Docket No. IN15-6-000, Order Approving Stipulation and Consent Agreement, 163 FERC ¶ 61,189  (Jun. 8, 2018) Civil Penalty of $3,500,000 to United States Treasury. Compliance monitoring for two years. The Commission issued an Order approving a Stipulation and Consent Agreement (Agreement) between the Office of Enforcement (Enforcement) and Duke Energy Corporation and Duke Energy Corporation’s public utility operating subsidiaries (Duke). The Agreement resolves the investigation conducted by Enforcement into whether Duke failed to fully and accurately communicate information to the Commission relating to certain transmission studies submitted in support of their application for the merger of Duke and Progress Energy, Inc. in violation of 18 C.F.R. § 35.41(b) (2017). Duke stipulates to the facts in Section II of the Agreement, but neither admits nor denies the alleged violations.
PSEG Energy Resources & Trade, LLC, Docket No. IN18-4-000, Order Approving Stipulation and Consent Agreement, 163 FERC ¶ 61,056  (April 25, 2018) Disgorgement of $26,905,736, plus $4,494,264 interest, to PJM. Civil Penalty of $8,000,000 to United States Treasury. The Commission issued an Order approving a Stipulation and Consent Agreement (Agreement) between the Office of Enforcement (Enforcement) and PSEG Energy Resources & Trade, LLC (PSEG). The Agreement resolves the investigation conducted by Enforcement into whether PSEG violated sections 1.2 and 6.4.2(a)(ii) of Schedule 1 of the PJM Operating Agreement and Attachment K – Appendix of the PJM Open Access Transmission Tariff, and the Market Behavior Rule, 18 C.F.R. § 35.41(a) (2017), when it submitted incorrect cost-based offers into the PJM energy market between 2005 and 2014. PSEG admits to the facts set forth in the Agreement, but neither admits nor denies the violations. In addition to payment of disgorgement and a civil penalty, PSEG agrees to submit annual compliance reports for at least two years.
ETRACOM LLC and Michael Rosenberg, Docket No. IN16-2-000, Order Approving Stipulation and Consent Agreement, 163 FERC ¶ 61,022  (April 10, 2018)

Prior Commission Activity:

Order Assessing Penalties, 155 FERC ¶ 61,284  (June 17, 2016)

Order to Show Cause and Notice of Proposed Penalty, 153 FERC ¶ 61,314  (December 16, 2015)
Civil penalties and disgorgement as follows: $1,500,508.28 in civil penalties to the U.S. Treasury against ETRACOM LLC. $315,072 in disgorgement, plus $84,419.72 in interest, by ETRACOM. The Commission issued an Order Approving a Stipulation and Consent Agreement (Agreement) between the Office of Enforcement (Enforcement), and ETRACOM LLC (ETRACOM) and Michael Rosenberg (together, Respondents) finding that the Agreement is in the public interest and resolves on fair and equitable terms: (a) the Commission’s claims against Respondents for violations of section 222 of the Federal Power Act (FPA) and the Commission’s Anti-Manipulation Rule, 18 C.F.R. § lc.2 (2017), and (b) the Commission’s action captioned FERC v. ETRACOM LLC, No. 2:16-CV-01945-SB (E.D. Cal.). ETRACOM will also develop and implement a compliance program and provide Enforcement annual compliance reports for a period of two years.

This page was last updated on January 14, 2021