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.