RICHARD WAYNE LANIUS is currently employed as a Broker and/or Investment Adviser at HARBOUR INVESTMENTS, INC. located at 951 KIMBALL LN, SUITE 220, VERONA, WI, 53593.
RICHARD WAYNE LANIUS has worked at HARBOUR INVESTMENTS, INC. since November 10, 1995
Disclosure History
RICHARD WAYNE LANIUS has 1 Disclosure Event(s).
Date: May 22, 1997 Category: Customer Dispute Allegations: LAWYERS FOR PLAINTIFFS ALLEGE: (1) LACK OF DUE DILIGENCE AND REASONABLE CARE IN CHECKING BACKGROUND OF THE GENERAL PARTNER, ASSOCIATED PERSONS AND PROJECTS OF THE CITY EQUITY GROUP, AND (2) CONCEALMENT OF MATERIAL FACTS FROM INVESTORS. APPARENTLY, SETTLEMENT IS SOUGHT IN THE AMOUNT OF THE ORIGINAL INVESTMENT WHICH IS STATED AS $677,740. Damage Amount Requested: $677,740.00 Broker Comment: DURING THE PERIOD IN QUESTION, I WAS A REPRESENTATIVE WITH WISCONSIN FINANCIAL GROUP (WFG). AS THE B/D, WFG`S POLICY WAS TO ASSUME RESONSIBILITY FOR THE DUE DILIGENCE FOR ITS RECOMMENDED PRODUCTS, AND I HAD EVERY REASON TO BELIEVE IT HAD DONE SO. AT NO TIME WAS I A SALES MANAGER, CORPORATE OFFICER, DIRECTOR, STOCKHOLDER OR WHOELSALER FOR WFGOF CEG. I WAS COMPENSATED SOLEY ON THE BASIS OF RATEABLECOMMISSIONS AND RECEIVED NO PAYMENT FROM THE 2% DUE DILIGENCE FEE OR THE 1% MARKETING FEE.
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