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FINRA Broker Allegations

Allegations against: Edward John Kohler

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: The claimants were part of the piper funds inc institutional government income portfolio litigation which alleged violation of section 11 and 12(2) of the securities act; violation of section 10(b) of the securities exchange act sections 13(a)(3), 34(b), and 18(f); violation of investment company act sections 13(a)(3), 34(b), and 18(f); and violation of minnesota statute section 80a.01, breach of fiduciary duty.

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