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FINRA Broker Allegations

Allegations against: Edward John Kohler

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: Plaintiffs allege that defendants violated the securities & exchange act of 1934, the investment company act, and the minnesota securities act. Plaintiffs also base their securities fraud claims on allegations that defendants violated various accounting standards in reporting the values of the deriviative securities owned by the trusts. Alleged damages or claims: in excess of $10,000.

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