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FINRA Broker Allegations

Allegations against: Edward John Kohler

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: Alleged violation of federal securities laws, specifically sections 11 and 12(2) of the securities act of 1933 and section 10(b) of the securities exchange act of 1934 and the south dakota securities laws, and committed acts of fraud and breach of fiduciary duty by misrepresenting and failing to disclose certain information. Alleged damages or claims: in excess of $10,000

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