Omni Financial Securities, Inc has agreed to pay a fine of $10,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).

Between June 2023 and May 2025, Omni Financial Securities, Inc. failed to review or preserve its registered representatives’ business-related communications, including electronic communications sent or received using unapproved email accounts, in violation of Section 17(a) of the Securities Exchange Act of 1934, Exchange Act Rule 17a-4, and FINRA Rules 3110, 4511, and 2010.

Omni Financial Securities has agreed to a censure, in addition to the fine of $10,000. The firm is also required to certify that it has remediated the issues.

Omni Financial Securities, Inc. has been a FINRA member since 1992. The firm is based in Columbus, Ohio and has seven registered representatives and one branch office. The firm primarily sells variable annuities and mutual funds.