Enforcement Notices
(Note: all files are in pdf format)
Issue Date | Subject of Investigation | Description of Alleged Misconduct | Dates of Alleged Misconduct |
---|---|---|---|
September 13, 2012 | California Independent System Operator Corporation | Alleged violations of two Mandatory Reliability Standards approved by the Commission, PER-002-0 (Operating Personnel Training) Requirements R1 and R3; and TOP-002-2a (Normal Operations Planning) Requirements R1 and R6, in connection with its management of a local reliability requirement in the San Diego area. These violations resulted in CAISO erroneously and unnecessarily issuing directives to shed firm Load in the San Diego area on the night of March 31–April 1, 2010. |
Certain dates through and including March 31–April 1, 2010 |
April 5, 2012 | Barclays Bank PLC, Daniel Brin, Scott Connelly, Karen Levine, and Ryan Smith | Alleged violations of 18 C.F.R. § 1c.2 of the Commission’s regulations by engaging in a coordinated scheme of trading day-ahead fixed-price physical electricity to benefit Barclays’ fixed-for-floating financial swap positions in those markets. | Certain months in the period November 2006 to December 2008 |
April 5, 2012 | Barclays Bank PLC, Daniel Brin, Scott Connelly, Karen Levine, and Ryan Smith | Alleged violations of 18 C.F.R. § 1c.2 of the Commission’s regulations by engaging in a coordinated scheme of trading day-ahead fixed-price physical electricity to benefit Barclays’ fixed-for-floating financial swap positions in those markets. | Certain months in the period November 2006 to December 2008 |
January 30, 2012 | Constellation Energy Commodities Group, Inc. | Alleged violations of 18 C.F.R. § 1c.2 and 18 C.F.R. § 35.41(b) of the Commission’s regulations by engaging in virtual transactions in the NYSIO and scheduling day-ahead physical flows between the NYISO and PJM, in order to benefit financial positions.* | September 2007 to December 2008 |
December 20, 2011 | Vista Energy Marketing, L.P. | Alleged violation of section 35.41(b) of the Commission’s regulations and a Commission Order by making misleading or untrue statements to the Commission in connection with its application for market-based rate authority. | April 10, 2009 to July 3, 2010 |
December 15, 2011 | Deutsche Bank Energy Trading, LLC | Alleged violation of the Commission’s Prohibition of Electric Market Manipulation by scheduling and trading energy in California in order to benefit its Congestion Revenue Rights positions. | January 2010 through March 2010 |
August 12, 2011 | Atmos Energy Corporation, Atmos Energy Marketing, Inc., and Trans Louisiana Gas Pipeline, Inc. | Alleged violation of the Commission’s Prohibition of Natural Gas Market Manipulation, Commission regulations, and FERC gas tariffs of various pipelines by engaging in improper capacity releases and violations of the Commission’s Shipper-Must-Have-Title rules.* | 2004 through January 2008 |
August 10, 2011 | City of Holyoke Gas & Electric Department | Alleged violation of the Commission’s Prohibition of Electric Energy Market Manipulation by failing to report generation unit outages to ISO-NE.* | April 2008 through December 2008 |
August 9, 2011 | Duke Energy Carolinas, LLC | Alleged violation of its tariffs, a Commission Order and Commission regulations by making sales to eight counterparties at prices exceeding the maximum allowable rate in its cost-based rate tariff, and misreporting additional sales to the Commission as market-based rate sales.* | December 2006 through September 2008 (cost-based rate sales); and May 2006 through December 2008 (misreported MBR sales) |
July 28, 2011 | BP America Inc., BP Corporation North America Inc., BP American Production Company and BP Energy Company | Alleged violation of the Commission’s Prohibition of Natural Gas Market Manipulation by fraudulently trading physical natural gas in the Houston Ship Channel and Katy markets and trading points to increase the value of financial positions. | Approximately September 2008 through November, 2008 |
April 19, 2011 | Black Hills Power, Inc. | Five alleged violations of its Open Access Transmission Tariff, the Federal Power Act and Commission regulations.* | June 2006 through April 2009 |
February 25, 2011 | Joseph Polidoro | Alleged violation of the Commission’s Prohibition of Electric Energy Market Manipulation by committing fraudulent acts in PJM’s Synchronized Reserve Market and Interruptible Load for Reliability Program (improper bidding, and notification failures), and by committing fraudulent acts by failing to obtain adequate authorization for over 100 resources.* | March 2007 through September 2008 (improper bidding and notification failures); 2008 to 2009 (inadequate authorizations) |
January 25, 2011 | Rumford Paper Company | Alleged violation of the Commission’s Prohibition of Electric Energy Market Manipulation by engaging in a fraudulent practice to collect payments from ISO-NE’s DALRP. | Approximately July 2007 through February 2008 |
January 25, 2011 | Competitive Energy Services, LLC | Alleged violation of the Commission’s Prohibition of Electric Energy Market Manipulation by advising an industrial load response participant to engage in a fraudulent practice to collect payments in ISO-NE’s DALRP. | Approximately July 2007 through February 2008 |
January 25, 2011 | Richard H. Silkman, Ph.D | Alleged violation of the Commission’s Prohibition of Electric Energy Market Manipulation by advising an industrial load response participant to engage in a fraudulent practice to collect payments from ISO-NE’s DALRP. | Approximately July 2007 through February 2008 |
January 25, 2011 | Lincoln Paper & Tissue, LLC | Alleged violation of the Commission’s Prohibition of Electric Energy Market Manipulation by engaging in a fraudulent practice to collect payments from ISO-NE’s Day-Ahead Load Response Program (DALRP). | Approximately July 2007 through February 2008 |
January 25, 2011 | Grand River Dam Authority | Alleged violation of fifty-two Requirements of nineteen Reliability Standards by failing to adequately perform functions required for reliable operation of the transmission system.* | June 2007 to May 2010 for most violations. Some violations were addressed between August 2009 and May 2010 |
* Indicates that the investigation has been resolved through settlement. See Civil Penalty Actions for more information.