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FINRA Broker Allegations

Allegations against: Edward John Kohler

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: The city alleges that the defendants violated the securities & exchange act of 1934, the securities act of `33, the investment company act, and minnesota statues, and also alleges common law fraud, negligent misrepre- sentation and breach of fiduciary duty. The city seeks actuak damages in the amount of $800,000, punitive damages, interest and attorneys` fees.

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