Cooter - I thought it only fair to go to the source and ask exactly what had/has been going on at OEC with Rick.
Here is the response verbatim:
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Rick does not operate a hedge fund and OEC or Rick has no affiliation with any hedge fund. Rick is the principal of Tomsic Capital Management which is a CTA but it has been inactive for over 4 years.
Rick was an AP of a firm and left in 1999. Nearly 7 years later this firm had an issue with the CFTC. Tomsic had no affiliation and was not named. Tomsic did not run the back office of this firm and was only an AP. |
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This is important to understand. I'm not sure where you got your info Cooter, but when I go the NFA site and search specifically for Rick Tomsic and check the site, I do not see any strikes against Tomsic OR OEC at this time.
Link to NFA directly to Rick's file:
BASIC Details
Now, to complete some more due diligence on my end, here are screenshots of every NFA file that Tomsic is linked to, including the one you are referencing Cooter. I think you'll find it interesting to note that Tomsic is not listed anywhere in the complaint, which you noted, and if that should be considered a strike is up to the end user. I don't see a problem since his name is not listed in the document.
Screenshots of the NFA site and where Tomsic is listed:
