Halliday Financial, LLC financial advisor Sandy Siff (CRD# 1443029) is accused of unsuitable investment recommendations. Siff has been registered with Halliday Financial, LLC in Glen Head, New York since 1993.
Siff has been the subject of one customer complaint, according to his CRD report:
July 2018. “This claim contains multiple claims against more than one rep. Claim alleges the rep gave unsuitable investment recommendation.” The customer is seeking $950,000 in damages and the case is currently pending. This case is regarding variable annuities.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Halliday Financial, LLC may be liable for investment or other losses suffered by Siff’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If and have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.