Enforcement 
Civil Penalty Actions
| Subject of investigation and ORDER and DATE | Total payment Civil Penalty, Disgorgement, Other |
Explanation of payments (civil penalty under the NGA, FPA, or NGPA; DISGORGEMENT OF PROFITS; other PAYMENTS) and compliance plans |
|---|---|---|
| Seneca Falls Power Corporation, 143 FERC ¶ 61,063  (April 23, 2013) |
$150,000 Civil Penalty; $300,000 Project Improvements |
Civil penalty, project improvements, and compliance monitoring resulting from violations of six license provisions relating to procuring and maintaining property rights necessary to operate the project; monitoring wetlands; installing recreational facilities; maintaining specified water elevations; and installing and monitoring fish passages. |
| Entergy Services, Inc., 142 FERC ¶ 61,241 (March 28, 2013) |
$975,000 Civil Penalty | Civil penalty, mitigation and compliance enhancement measures, and compliance monitoring resulting from violations of twenty-seven requirements of fifteen reliability standards related to (1) protection system maintenance; (2) facility ratings; (3) system modeling; (4) operator qualification; and (5) communications systems. |
| Rumford Paper Company, 142 FERC ¶ 61,218 (March 22, 2013) |
$10,000,000 Civil Penalty; $2,836,419.08 Disgorgement |
Civil penalty, disgorgement, and commitment to compliance measures resulting from violations of 18 C.F.R. § 1c.2 (prohibition of electric energy market manipulation). |
| In Re PJM Up to Congestion Transactions, 142 FERC ¶ 61,088 (February 1, 2013) |
$51,000 Civil Penalty $29,563 Disgorgement |
Civil penalty, disgorgement, and commitment to compliance training resulting from violations of 18 C.F.R. § 1c.2 (prohibition of electric energy market manipulation); individual trader agrees to refrain from trading in electricity markets and products for one year. |
| Westar Energy, Inc., 142 FERC ¶ 61,066 (January 25, 2013) |
$420,000 Civil Penalty $1,153,836 Disgorgement |
Civil penalty, disgorgements, and compliance monitoring resulting from violations of Southwest Power Pool’s OATT (section 28.6). |
| Deutsche Bank Energy Trading, LLC, 142 FERC ¶ 61,056 (January 22, 2013) |
$1,500,000 Civil Penalty $172,645 Disgorgement |
Civil penalty, disgorgement, and compliance monitoring resulting from violations of 18 C.F.R. § 1c.2 (prohibition of electric energy market manipulation), 18 C.F.R. § 35.41(b) (prohibition of submission of false or misleading information or the omission of material information), and provisions of the CAISO tariff. |
| In re Progress Energy Florida, Inc., 142 FERC ¶ 61,041 (January 16, 2013) |
$80,000 Civil Penalty | Civil penalty and compliance monitoring resulting from violations of 18 C.F.R. § 35.10b (EQR filing requirements), Revised Public Utility Filing Requirements (Order No. 2001), PEF’s market based rate authority, and PEF’s cost based rates tariff. |
Total civil penalties assessed for all years:$289,860,029
Total disgorgement ordered for all years: $161,123,626.08
The “Total Civil Penalties Assessed for all years” does not include the $30,000,000 penalty assessed against Hunter, which was addressed on petition for review in Hunter v. FERC, No. 11-1477 (D.C. Cir. March 15, 2013).
