Articles Tagged with Law Offices

toltmann Law Offices is investigating Christopher Prassas, a registered broker with Stifel Nicolaus in Chicago, Illinois. Prassas has been accused of concentrating accounts in unsuitable investments for clients, engaging in excessive trading, recommending unsuitable securities and using margin extensively. These are all against securities rules and regulations. He was registered with Berghoff, Marsh & Company in Chicago, Illinois from September 1992 until December 1992, Credit Suisse in New York, New York from November 2000 until September 2002, Donaldson, Lufkin & Jenrette Securities in Jersey City, New Jersey from January 1993 until January 2003, Credit Suisse in Chicago from January 2003 until May 2013 and Barclays Capital in Chicago from May 2013 until December 2015. He is currently registered with Stifel Nicolaus in Chicago and has been since December 2015. He has two customer disputes against him. If you would like to find out your options of bringing a claim against his firm, Stifel Nicolaus, for investment losses, you may do so by calling our Chicago-based securities law firm at 312-332-4200 and speaking to an attorney for free. We will discuss your options of recovering your investment losses in the FINRA arbitration forum on a contingency fee basis.

toltmann Law Offices is investigating Ricky Moore, a registered representative with SagePoint Financial in Angleton, Texas. He was accused of participating in an undisclosed outside business activity constituting the facilitation of a church bond offering for a church. Mr. Moore “engaged in the undisclosed outside business activities by acting as the president and director of the church and by facilitating the church bond offering for the church and independently failed to observe high standards of commercial honor and just and equitable principles of trade when he engaged in activities with the church beyond those previously disclosed and without getting prior written consent, as the firm required in its letter approving his role as a minister.” On a separate occasion, Moore advised a client to invest in an unapproved product, while he was employed at Commonwealth Financial Network. He also allegedly recommended a portfolio overly concentrated in variable annuities and real estate investment trusts (REITs). These are all against securities rules and regulations.

According to his online public FINRA BrokerCheck report, Moore was registered with AG Edwards & Sons in St. Louis, Missouri from March 1995 until May 2002, LPL Financial in Angleton, Texas from May 2002 until February 2009, Commonwealth Financial Network in Angleton from February 2009 until October 2013 and Securities America in Angleton from October 2013 until December 2013. He is currently registered with SagePoint Financial in Angleton and has been since December 2013. He has three customer disputes against him, one of which is currently pending.

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