(Note: all files are in pdf format)

Issue Date	Subject of Investigation	Description of Alleged Misconduct	Dates of Alleged Misconduct
October 1, 2012	Florida Power Corporation d/b/a Progress Energy Florida (PEF)	Alleged violations of Section 205 of the Federal Power Act and the Commission’s order granting MBRA, specifically the misreporting of 1,300 transactions and the execution of 11 transactions at rates in excess of those permitted under PEF’s cost-based rate tariffs.	2004–2009
September 21, 2012	PacifiCorp	Alleged violations of sections 17.1 and 18.1 and Schedule 11 of PacifiCorp’s Open Access Transmission Tariff (OATT) and Part 37.6(e) of the Commission’s regulations.	July 2009–February 2011
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.