LANCE ALLEN LOHR is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 5905 E GALBRAITH RD, CINCINNATI, OH, 45236.
LANCE ALLEN LOHR has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since October 15, 1996
Disclosure History
LANCE ALLEN LOHR has 2 Disclosure Event(s).
Date: March 24, 2017 Category: Customer Dispute Allegations: The Customer alleges failure to follow instructions in December 2016. Damage Amount Requested: $1,910,188.00
Date: January 12, 2001 Category: Customer Dispute Allegations: CUSOTMERS ALLEGES THAT MR. LOHR "MADE NUMEROUS INVESTMENT DECISIONS WITHOUT [CUSTOMER'S] CONSENT, MADE OTHER INVESTMENT DECISIONS THAT WERE CONTRARY TO SPECIFIC INSTRUCTIONS PROVIDED AND INCONSISTENT WITH [CUSTOMER'S] INVESTMENT OBJECTIVES". Damage Amount Requested: $600,000.00 Broker Comment: CLAIMANTS' ALLEGATIONS ARE WHOLLY WITHOUT MERIT. MERRILL LYNCH SENT A LETTER TO CLAIMANTS ON JUNE 1, 201, DENYING CLAIMANTS' CLAIM. CLAIMANTS HAVE NOT RESPONDED TO THIS LETTER IN ANY SUBSTANTIVE MANNER. CLAIMANTS HAD STATED THAT THEIR INVESTMENT OBJECTION WAS TOTAL RETURN. THEY DID NOT WANT CD'S OR FIXED INCOME. MR. LOHR RECOMMENDED SEVERAL MUTUAL FUNDS. MR. LOHR FULLY DISCUSSED EACH FUND WITH CLAIMANTS AND PROVIDED PROSPECTUSES. CLAIMANTS WERE INVESTED IN SUITABLE INVESTMENTS. MOREOVER, UNSOLICITED PURCHASES WERE MADE IN TECHNOLOGY STOCKS. CLAIMANTS LOSSES ARE DUE TO THEIR UNSOLICITED PURCHASES AND GENERAL MARKET DECLINE. THIS WAS ALL EXPLAINED TO CLAIMANTS IN THE JUNE 1, 2001, LETTER.
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