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FINRA Broker Allegations

Allegations against: Edward John Kohler

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: The claimant was part of the piper funds inc institutional gov't income portfolio litigation which alleged violation of section 11 and 12(2) of the securities act, section 10(b) of the securities exchange act & rule 10b-5 promulgated thereunder; violation of investment company act section 13(a)(3), section 34(b), and section 18(f); and violation of the minnesota statue sectio 80a.01, breach of fiduciary duty.

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