Following the blockbuster settlement, expect messaging apps and personal devices to be a 'routine' part of SEC scrutiny for firms of all sizes, say compliance experts.

WEG's latest acquisition brings its total client assets to more than $57.3 billion.

Burrows Capital Advisors, led by 30-year industry veteran Don Burrows, will be affiliating with Totus Wealth Management, an OSJ that joined Cetera last year.

The firm has hired John Morrison, portfolio manager at Dimensional Fund Advisors, to run the RIA, which aims to help startup employees plan around option-rich, but cash-poor, wealth.

The association’s board of directors names current Treasurer Claudia Cypher Kane to succeed 2023 President James Lee.

The move establishes EP Wealth's presence on the East Coast, and marks milestone in the firm's planned national expansion.

Some firms have closed their offices and evacuated their employees, while others are hunkering down in hopes that the storm will pass.

The involved firms include some of the biggest names in the financial services and wealth management space, including BofA, Citigroup, Morgan Stanley and UBS.