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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 sections 11 and 12(2) of the securities act, section 10(b) of the securities exchange & rule 10b-5 promulgated thereunder, sections 13(a) (3), 34(b), and 18(f) of the investment co act, and section 80a.01 of the minnesota statues breach of fiduciary duty.

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