NOTICE OF APPEARANCE OF COUNSEL
BEFORE THE FEDERAL ENERGY REGULATORY COMMISSION OFFICE OF ENFORCEMENT DIVISION OF INVESTIGATIONS
888 First Street NE Washington, D.C. 20426
I. INTRODUCTION AND PURPOSE
Calderwood & Harkness LLP hereby enters its appearance as counsel for Dunmore Energy Holdings Ltd. ("DEH") and Dunmore Power Trading LLC ("DPT") (collectively, "Respondents") in the above-captioned non-public investigation, Docket No. IN23-7-000.
This Notice of Appearance is filed pursuant to the Federal Energy Regulatory Commission's ("Commission" or "FERC") regulations governing investigations under 18 C.F.R. Part 1b, including, without limitation, Section 1b.16 (relating to the rights of witnesses and parties in non-public investigations) and Section 1b.9 (relating to the appearance of counsel). Calderwood & Harkness LLP submits this filing in order to formally identify counsel of record, ensure proper service of all communications and documents, and confirm the scope of its engagement on behalf of Respondents.
This investigation was initiated by the Office of Enforcement's preliminary inquiry letter dated May 22, 2023, directed to DEH and DPT, which identified certain wholesale electricity trading activity in the Midcontinent Independent System Operator ("MISO") and Southwest Power Pool ("SPP") markets as the subject of Staff's inquiry. Upon receipt of that preliminary inquiry letter, Respondents promptly retained Calderwood & Harkness LLP to represent their interests in connection with this matter.
Calderwood & Harkness LLP respectfully requests that all communications, data requests, correspondence, subpoenas, notices, and any other documents relating to this investigation be directed exclusively to counsel at the address and contact information provided in Section II below. Counsel is fully authorized to receive service on behalf of both DEH and DPT, and this arrangement is intended to facilitate orderly and efficient communication between FERC Staff and Respondents throughout the course of the investigation.
II. IDENTIFICATION OF COUNSEL
The following attorneys at Calderwood & Harkness LLP will serve as counsel for Respondents in this matter:
A. Lead Counsel / Responsible Partner
Catherine Bloom Partner Calderwood & Harkness LLP 1001 Fannin Street, Suite 4200 Houston, TX 77002
Telephone: (713) 632-8400 Facsimile: (713) 632-8401
Email: catherine.bloom@calderwoodharkness.com
Bar Admissions: State Bar of Texas (No. 24057891); District of Columbia Bar (No. 489372); admitted to practice before the Federal Energy Regulatory Commission, the United States Court of Appeals for the Fifth Circuit, and the United States Court of Appeals for the District of Columbia Circuit.
Ms. Bloom is the lead counsel and responsible partner for this engagement. All substantive communications from FERC Staff should be directed to Ms. Bloom in the first instance.
B. Additional Counsel
The following attorneys will also serve as counsel for Respondents in connection with this investigation:
Alan Ngo Partner Calderwood & Harkness LLP 1001 Fannin Street, Suite 4200 Houston, TX 77002
Telephone: (713) 632-8410 Facsimile: (713) 632-8401
Email: alan.ngo@calderwoodharkness.com
Bar Admissions: State Bar of Texas (No. 24063117); State Bar of New York (No. 5284613).
Hannah Brinkley Associate Calderwood & Harkness LLP 1001 Fannin Street, Suite 4200 Houston, TX 77002
Telephone: (713) 632-8455 Facsimile: (713) 632-8401
Email: hannah.brinkley@calderwoodharkness.com
Bar Admissions: State Bar of Texas (No. 24098204).
Patrick Gallagher Associate Calderwood & Harkness LLP 1001 Fannin Street, Suite 4200 Houston, TX 77002
Telephone: (713) 632-8462 Facsimile: (713) 632-8401
Email: patrick.gallagher@calderwoodharkness.com
Bar Admissions: State Bar of Texas (No. 24101587); Commonwealth of Virginia (No. 95817).
C. Firm Information
Calderwood & Harkness LLP is a national law firm with its principal office located at 600 Lexington Avenue, New York, NY 10022. The office handling this matter is the firm's Houston office, located at 1001 Fannin Street, Suite 4200, Houston, TX 77002. All correspondence should be directed to the Houston office at the address set forth above unless otherwise specified by counsel.
III. IDENTIFICATION OF CLIENTS / RESPONDENTS
Calderwood & Harkness LLP represents the following entities in this matter:
A. Dunmore Energy Holdings Ltd.
Full Legal Name: Dunmore Energy Holdings Ltd.
Entity Type: Exempted company incorporated under the laws of the Cayman Islands, registered and in good standing under the Companies Act (As Revised) of the Cayman Islands.
Registered Office: 4th Floor, Harbour Place, 103 South Church Street, George Town, Grand Cayman, KY1-1002, Cayman Islands.
Principal U.S. Office: 2200 Post Oak Boulevard, Suite 3100, Houston, TX 77056.
Employer Identification Number (EIN): 98-1347562.
DEH is a vertically integrated energy holding company with upstream oil and gas production operations, midstream pipeline assets, and wind and solar generation facilities located across the U.S. Midwest and Gulf Coast regions. DEH serves as the parent company and sole equity owner of Dunmore Power Trading LLC. Through its subsidiaries, DEH owns and operates approximately 4,200 megawatts of generation capacity across multiple fuel types and participates in wholesale energy markets through DPT. DEH's principal U.S. management and administrative functions are conducted from its Houston, Texas office.
B. Dunmore Power Trading LLC
Full Legal Name: Dunmore Power Trading LLC.
Entity Type: Limited liability company organized and existing under the laws of the State of Delaware.
Registered Agent: Capitol Registered Agents Inc., 1209 Orange Street, Wilmington, DE 19801.
Principal Office: 2200 Post Oak Boulevard, Suite 3100, Houston, TX 77056.
Employer Identification Number (EIN): 82-4519763.
FERC Market-Based Rate Authorization: Docket No. ER05-1128-000.
DPT is the wholly owned power marketing subsidiary of DEH. DPT holds market-based rate authority granted by the Commission pursuant to Section 205 of the Federal Power Act, 16 U.S.C. § 824d, and the Commission's order in Docket No. ER05-1128-000. DPT conducts wholesale electricity trading in the Midcontinent Independent System Operator ("MISO") and Southwest Power Pool ("SPP") organized wholesale electricity markets. DPT's trading operations include physical and financial transactions in the day-ahead and real-time energy markets, financial transmission rights, capacity, and ancillary services products. DPT is registered as a market participant with both MISO and SPP and is subject to the Commission's Anti-Manipulation Rule, 18 C.F.R. § 1c.2, the Commission's regulations governing market behavior, and applicable provisions of MISO's and SPP's respective tariffs and market rules.
IV. AUTHORIZATION
Calderwood & Harkness LLP has been duly authorized to represent both DEH and DPT in all matters arising from or related to the Office of Enforcement's investigation in Docket No. IN23-7-000. Such authorization was provided by Martin Llewellyn, General Counsel of Dunmore Energy Holdings Ltd., with a principal business address at 2200 Post Oak Boulevard, Suite 3100, Houston, TX 77056. Mr. Llewellyn serves as the senior legal officer of DEH and, in that capacity, is authorized to retain outside counsel and direct litigation and regulatory matters on behalf of DEH and its subsidiaries, including DPT.
The scope of Calderwood & Harkness's engagement encompasses all aspects of the Office of Enforcement's investigation in Docket No. IN23-7-000, including, without limitation:
(a) receiving and responding to data requests, interrogatories, and informal information requests issued by FERC Staff;
(b) reviewing, collecting, and producing documents and electronically stored information responsive to Staff's requests;
(c) making witnesses available for, and representing witnesses during, testimony sessions conducted pursuant to 18 C.F.R. § 1b.12;
(d) engaging in settlement discussions or other negotiations with the Office of Enforcement or the Commission, as appropriate;
(e) filing submissions, pleadings, and other documents with the Commission in connection with this investigation; and
(f) participating in all other proceedings, communications, or activities arising from or related to this investigation, including, if applicable, any subsequent enforcement action or proceeding before the Commission.
This authorization is evidenced by an engagement letter executed on May 24, 2023, between Calderwood & Harkness LLP and Dunmore Energy Holdings Ltd. (acting on its own behalf and on behalf of DPT). The terms of such engagement letter are privileged and confidential, and Respondents respectfully decline to disclose them. Calderwood & Harkness confirms, however, that no conflict of interest exists that would preclude its joint representation of DEH and DPT in this matter, and that both entities have provided informed written consent to such joint representation.
V. REQUEST FOR SERVICE OF COMMUNICATIONS
Respondents respectfully request that all future communications, data requests, subpoenas, correspondence, notices, and any other documents issued by the Commission, the Office of Enforcement, the Division of Investigations, or any agent or representative thereof in connection with this investigation be directed to the following counsel:
Catherine Bloom (Lead Counsel) Calderwood & Harkness LLP 1001 Fannin Street, Suite 4200 Houston, TX 77002 Telephone: (713) 632-8400
Email: catherine.bloom@calderwoodharkness.com
With copies to:
Hannah Brinkley Calderwood & Harkness LLP 1001 Fannin Street, Suite 4200 Houston, TX 77002 Telephone: (713) 632-8455
Email: hannah.brinkley@calderwoodharkness.com
Respondents further request that FERC Staff contact Catherine Bloom directly to schedule any conferences, meetings, telephone calls, interviews, or testimony sessions in connection with this investigation. Ms. Bloom is available to discuss scheduling and procedural matters at the telephone number and email address listed above. Respondents request that FERC Staff refrain from contacting officers, directors, employees, or agents of DEH or DPT directly regarding the substance of this investigation without prior coordination with counsel.
VI. COOPERATION STATEMENT
DEH and DPT intend to cooperate fully with the Office of Enforcement's investigation in Docket No. IN23-7-000. Respondents take seriously their obligations under the Federal Power Act, the Commission's regulations, and applicable market rules, and they are committed to providing responsive and timely information to FERC Staff.
In furtherance of this commitment, Respondents have implemented a comprehensive litigation hold and document preservation directive to ensure the preservation of all potentially responsive documents and electronically stored information. The preservation directive was issued to all relevant custodians and business units within DEH and DPT promptly upon receipt of the preliminary inquiry letter dated May 22, 2023, and encompasses all physical and electronic documents, communications, trading records, instant messages, and other materials that may be relevant to the matters under investigation. Respondents have also engaged appropriate information technology and records management personnel to ensure compliance with the preservation directive.
Respondents look forward to working constructively and in good faith with FERC Staff to address the matters raised in the preliminary inquiry letter and to facilitate the timely resolution of this investigation.
VII. CONFIDENTIALITY
This Notice of Appearance is filed in connection with a non-public investigation conducted by the Office of Enforcement, Division of Investigations, pursuant to 18 C.F.R. Part 1b. Under Section 1b.9 of the Commission's regulations, investigations conducted under Part 1b are non-public, and information obtained during the course of such investigations is treated as non-public by the Commission.
Respondents respectfully request that this Notice of Appearance and all related communications, filings, and documents be treated as non-public and confidential in accordance with the Commission's regulations, including, without limitation, 18 C.F.R. §§ 1b.9 and 1b.20, and consistent with the Commission's policies regarding the confidentiality of enforcement investigations. Respondents reserve all rights with respect to the confidential treatment of information produced or disclosed in connection with this investigation, including the right to designate specific documents and information as privileged, confidential, or otherwise protected from public disclosure.
Nothing in this Notice of Appearance shall be construed as a waiver of any privilege, protection, or right available to Respondents under applicable law, including, without limitation, the attorney-client privilege, the work product doctrine, and any applicable trade secret or commercial confidentiality protections.
VIII. SIGNATURE
Respectfully submitted,
CALDERWOOD & HARKNESS LLP
By: /s/ Catherine Bloom
________________________________________
Catherine Bloom, Partner Calderwood & Harkness LLP 1001 Fannin Street, Suite 4200 Houston, TX 77002 Telephone: (713) 632-8400 Facsimile: (713) 632-8401
Email: catherine.bloom@calderwoodharkness.com
Dated: June 5, 2023
Counsel for Dunmore Energy Holdings Ltd. and Dunmore Power Trading LLC
C&H Matter Number: 1016-00004
CERTIFICATE OF SERVICE
I, Catherine Bloom, hereby certify that on June 5, 2023, a true and correct copy of the foregoing Notice of Appearance of Counsel was served upon each of the following individuals by electronic mail and by United States first-class mail, postage prepaid:
Margaret Hollowell Director, Division of Investigations Office of Enforcement Federal Energy Regulatory Commission 888 First Street NE Washington, D.C. 20426
Thomas Adebayo Lead Investigator, Division of Investigations Office of Enforcement Federal Energy Regulatory Commission 888 First Street NE Washington, D.C. 20426
Christine Pham Senior Attorney, Division of Investigations Office of Enforcement Federal Energy Regulatory Commission 888 First Street NE Washington, D.C. 20426
By: /s/ Catherine Bloom
________________________________________
Catherine Bloom Calderwood & Harkness LLP
Dated: June 5, 2023
| Docket No.: | IN23-7-000 |
| Filed: | June 5, 2023 |
| Filed By: | Calderwood & Harkness LLP, on behalf of Dunmore Energy Holdings Ltd. and Dunmore Power Trading LLC |