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Company: Peak Financial Group

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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

Investment Execuitve Mid-October 2018 page 10

Stéphane Dulude will be drawing on his experience to help Peak Financial Group expand its footprint outside Quebec

buildings and architecture of montreal, quebec

A 2016 review found weaknesses in the firm’s internal controls and supervisory systems

Streets of Montreal, Canada

As vice president of business development, Dulude will be responsible for managing the firm’s recruitment efforts across Canada

  • By: Leah Golob
  • February 14, 2018 October 11, 2019
  • 12:00
Street Capital appoints chief product and marketing officer

De Laurentiis has more than 30 years of experience in the financial services sector, most recent as president and CEO of IFIC

  • By: IE Staff
  • February 23, 2017 October 11, 2019
  • 10:30
CTI Capital Securities’ new hybrid advice platform targets the mass affluent

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

  • By: Jade Hemeon
  • December 1, 2016 October 17, 2019
  • 16:30

Taking over the daily operations of Peak Financial Group from Robert Frances represents an opportunity for the experienced Doré