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FINRA Broker Allegations

Allegations against: Edward John Kohler

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: Plaintiff alleges violation of the securities and exchange act of 1934, investment company act. Washington state securities act and the washington consumer protection act. Also bases his securities fraud claims on allegations that the defendants violated various accounting standards in reporting the values of the derivative securities owned by the fund. Alleged damages or claims in excell of $10,000.00.

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