FINRA Broker Allegations

Allegations against: Edward John Kohler

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: Client alleges violation of the securities exchange act of '34, section 10b-5, 15 u.s.c. Section 78(j) (b), securities exchange commission rule 10-b-5, 17 c.f.r. section 240.10 b-5, minnesota statute section 80a, negligence, inadequate disclosure, and breach of fiduciary duty. Claimant seeks compensatory damages in the amount of $59,000 prejudgement interest costs and attorney fees.