Lance Allen Lohr of Cincinnati Ohio a stockbroker currently employed by Merrill Lynch Pierce Fenner Smith Inc. is referenced in a customer initiated investment related arbitration claim which was resolved for $1,910,188.00 in damages supported by accusations of the failure to follow the customer’s instructions from December 2016 in regard to common and preferred stock investments. Financial Industry Regulatory Authority (FINRA) Arbitration No. 17-00749 (Aug. 28, 2018).
FINRA Public Disclosure additionally reveals that on January 12, 2001, a customer filed an investment related complaint concerning Lohr’s activities in which the customer sought $600,000.00 in damages founded on allegations that while Lohr was associated with Merrill Lynch, Lohr made multiple investment-related decisions in regard to equities transactions in the customer’s investment account without having consulted with the customer; and effected transactions that failed to align with the instructions provided by the customer.
Lohr has been registered with Merrill Lynch Pierce Fenner Smith since October 15, 1996.
