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All Civil Penalty Actions – 2018


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
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  PDF (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  PDF (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  PDF (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  PDF (April 10, 2018)

Prior Commission Activity:

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

Order to Show Cause and Notice of Proposed Penalty, 153 FERC ¶ 61,314  PDF (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.

Total Civil Penalties assessed for all years 2007 to present: $775,991,520.

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. Also does not include penalties proposed or assessed in the following currently pending matters: $20,160,000 in BP America Inc., et al. that is now at the US Court of Appeals for the Fifth Circuit; $7,500,000 against Competitive Energy Services, LLC; and $1,250,000 against Richard Silkman assessed in the matter of CES and Richard Silkman; $16,800,000 against Powhatan Energy Fund LLC, $10,080,000 against CU Fund Inc., $1,920,000 against HEEP Fund Inc., or $1,000,000 against Houlian Chen assessed in Powhatan Energy Fund, et al.; $26 million against Coaltrain Energy, L.P., $5 million each against Peter Jones and Shawn Sheehan, $1 million against Robert Jones, and $500,000 each against Jeff Miller and Jack Wells assessed in Coaltrain Energy, L.P., et al.; $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; or $4,200,000 proposed in Footprint Power LLC, et al.

Total Disgorgement ordered for all years 2007 to present: $510,775,520.

Total Disgorgement does not include amounts ordered in the following currently pending matters: $166,841 ordered in Competitive Energy Services, LLC; $207,169 in BP America Inc., et al.; that is now at the US Court of Appeals for the Fifth Circuit; $3,465,108 assessed in Powhatan Energy Fund LLC; $1,080,576 assessed in CU Fund Inc.; $173,100 assessed in HEEP Fund, Inc.; $4,121,894 plus interest assessed in Coaltrain Energy, L.P., et al.; $9,180,000 proposed in Total Gas & Power North Americ; or $2,049,571 proposed in Footprint Power LLC, et al.

Total Other Payments ordered for all years 2007 to present: $8,200,000

“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.