Between March 2019 and May 2026, FCIS failed to review more than 3.5 million emails sent or received by its associated persons. This resulted from failures to load email accounts for new hires into the firm’s email review system, the use of unreasonably narrow search parameters to flag emails for review, and the exclusion of internal emails from the firm’s email review process. As a result, FCIS failed to identify issues such as emails containing reportable customer complaints.

Redeker refused to provide information and documents requested pursuant to FINRA Rule 8210 in connection with an investigation into allegations that Redeker had unlawfully taken jewelry from the homes of a colleague and a firm customer. As a result, Redeker violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities.

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. For these violations, Omni Financial Securities is censured, fined $10,000, and required to certify that it has remediated the issues identified in this AWC.

On February 4, 2026, Beecham possessed unauthorized materials during the Series 6 examination, in violation of FINRA Rules 1210.05 and 2010. For this misconduct, he is suspended for 18 months in all capacities.