FINRA Fines Omni Financial Securities $10,000 for Recordkeeping Violations

Omni Financial Securities, Inc. has agreed to pay a $10,000 fine as part of a settlement with the Financial Industry Regulatory Authority (FINRA), the regulator said. The firm also accepted a censure and must certify that it has remediated the issues.

According to FINRA, between June 2023 and May 2025, Omni failed to review or preserve its registered representatives’ business-related communications, including electronic messages sent or received using unapproved email accounts. The conduct violated 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 been a FINRA member since 1992. Based in Columbus, Ohio, the firm has seven registered representatives and one branch office, and primarily sells variable annuities and mutual funds.