| SPRING CREEK CAPITAL LLC |
NFA 11BCC00008 |
NFA ID: 0367782 |
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| 0020385 | LEGITTINO, JOHN VINCENT | 05/31/2011 | | 0367782 | SPRING CREEK CAPITAL LLC | 05/31/2011 |
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| 0020385 | LEGITTINO, JOHN VINCENT | • C.R.2-4 - HIGH STDS. OF COMMERCIAL HONOR | | 0367782 | SPRING CREEK CAPITAL LLC | • BLAW301(b) - REGISTRATION OF APS AS ASSOCIATES |
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| 0020385 | LEGITTINO, JOHN VINCENT | • BUSINESS CONDUCT COMMITTEE | | 0367782 | SPRING CREEK CAPITAL LLC | • BUSINESS CONDUCT COMMITTEE |
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| 0020385 | LEGITTINO, JOHN VINCENT | • GENERAL CONDUCT | | 0367782 | SPRING CREEK CAPITAL LLC | • REGISTRATION |
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| 0020385 | LEGITTINO, JOHN VINCENT | • WITHDRAW FROM NFA ASSOCIATE MEMBERSHIP | 05/13/2011 | | 0367782 | SPRING CREEK CAPITAL LLC | • WITHDRAW FROM MEMBERSHIP | 05/13/2011 |
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| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
COMPLAINT:
On May 12, 2011, NFA issued a Complaint charging Spring Creek with allowing unregistered individuals to act as purported APs, without being registered as APs, and solicit customers for the firm. The Complaint charged Legittino with failing to uphold just and equitable principles of trade.
AMENDED DECISION:
On May 13, 2011, pursuant to a settlement offer submitted by Spring Creek and Legittino, Spring Creek was ordered to withdraw immediately from NFA membership and thereafter not reapply for NFA membership or act as a principal of an NFA Member at any time in the future. Legittino was ordered to immediately withdraw from NFA associate membership and thereafter not reapply for NFA associate membership or apply for NFA membership or act as a principal of an NFA Member at any time in the future. | | | |
| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
COMPLAINT:
On May 12, 2011, NFA issued a Complaint charging Spring Creek with allowing unregistered individuals to act as purported APs, without being registered as APs, and solicit customers for the firm. The Complaint charged Legittino with failing to uphold just and equitable principles of trade.
AMENDED DECISION:
On May 13, 2011, pursuant to a settlement offer submitted by Spring Creek and Legittino, Spring Creek was ordered to withdraw immediately from NFA membership and thereafter not reapply for NFA membership or act as a principal of an NFA Member at any time in the future. Legittino was ordered to immediately withdraw from NFA associate membership and thereafter not reapply for NFA associate membership or apply for NFA membership or act as a principal of an NFA Member at any time in the future. | | |
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