RUTH ELIZABETH SAADA is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 225 LIBERTY ST - 2 WORLD FINANCIAL CTR, NEW YORK, NY, 10281.
RUTH ELIZABETH SAADA has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since January 21, 1987
Disclosure History
RUTH ELIZABETH SAADA has 2 Disclosure Event(s).
Date: December 11, 2000 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT FINANCIAL CONSULTANT MADE UNSUITABLE INVESTMENT RECOMMENDATIONS. CUSTOMER FURTHER ALLEGES THAT FINANCIAL CONSULTANT FAILED TO DISCLOSE ALL MATERIAL FACTS WITH REGARDS TO A BOND INVESTMENT. NO SPECIFIC AMOUNT OF DAMAGES WERE ALLEGED. Broker Comment: FINANCIAL CONSULTANT DENIES THE ALLEGATIONS. BOTH INVESTMENTS WERE CHOSEN BY THE CUSOTMER DURING A LENGTHY MEETING AT THE FINANCIAL CONSULTANT'S OFFICE. THE CUSTOMER WAS GIVEN NUMEROUS CHOICES, WITH VARYING DEGREE OF RISKS, TO MEET HER OBJECTIVES AND ULTIMATELY CHOSE THE INVESTMENTS SHE NOW COMPLAINS ABOUT.
Date: April 11, 2000 Category: Customer Dispute Allegations: CLIENT ALLEGES MS. SAADA DID NOT INVEST IN A WAY TO SATISFY HIS NEEDS AND MADE AN INVESTMENT WITHOUT HIS CONSENT. 1997-2000UNSPECIFIED DAMAGES Broker Comment: THE CLIENT'S ALLEGATIONS WERE FOUND TO BE WITHOUT MERIT AND THE COMPLAINT WAS CLOSED.
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