The firm reported that clients had paid trailers on fee-based accounts
Fund dealer admits to not fully investigating suspected rep misconduct
The former rep was being investigated for allegedly liquidating his father's investment accounts
It's the first fund dealer to offer its reps direct access to platform-traded funds
Stéphane Dulude will be drawing on his experience to help Peak Financial Group expand its footprint outside Quebec
A 2016 review found weaknesses in the firm’s internal controls and supervisory systems
As vice president of business development, Dulude will be responsible for managing the firm’s recruitment efforts across Canada
De Laurentiis has more than 30 years of experience in the financial services sector, most recent as president and CEO of IFIC
Peak Insurance Services will add more than 6,000 clients to its roster as a result of the deal with L.E.S, which provides insurance services to health-care professionals
The firm joins Mandeville among the first mutual fund dealers to provide advisors with products typically accessible only through securities dealers