Qi Yang (CRD 7439718) is a San Francisco, California broker. FINRA suspended him from association with any member firm in all capacities for six months and assessed a deferred fine of $5,000, according to an AWC issued August 10, 2026.
Soreide Law Group obtained the following information from FINRA's August 2017 Disciplinary Report:
Jeffrey Donald Noard (CRD #1983392, Menomonee Falls, Wisconsin)
A NAC decision became final in which Noard was fined $2,500 and suspended from association with any FINRA member in all capacities for 10 business days.
NAC imposed the sanctions based on findings that Noard violated FINRA’s suitability rule when he recommended that an elderly retired widow of limited means purchase renewable secured debentures from an emerging growth company that specialized in the viatical settlement business.
The NAC found that Noard allegedly failed to make the independent, customer-specific suitability determination that the suitability rule requires, failed to tailor his recommendations to the client’s financial situation, objective, and needs, and failed to adequately explain the risks associated with the issuer’s debentures.
Noard did not appeal to the SEC. The NAC’s decision is final. Noard’s suspension was in effect from July 17, 2017, through July 28, 2017.
(FINRA Case #2012034936101)
According to FINRA’s BrokerCheck, Jeffrey Donald Noard, has 27 years of experience in the securities industry and has been listed with 11 firms, the most current since 6/14/2013:
CABOT LODGE SECURITIES LLC
N48W14336 HAMPTON ROAD
MENOMONEE FALLS, WI 53051
Jeffrey Donald Noard was previously listed with:
02/22/2011 - 07/15/2013 ALLIED BEACON PARTNERS INC
FINRA expelled the firm on 12/19/2013
MILWAUKEE, WI
07/19/2010 - 02/22/2011 ALLIED BEACON PARTNERS INC
MILWAUKEE, WI
08/28/2008 - 06/23/2010 WELLS FARGO ADVISORS LLC
WAUKESHA, WI
If you or an elderly family member are/were a client of Cabot Lodge Securities, Menomonee Falls, Wisconsin broker, Jeffrey Donald Noard, and you experienced investment losses due to his actions or recommendations, call Soreide Law Group and speak to an experienced securities lawyer regarding the possible recovery of your losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group represents our clients nationwide before FINRA. We operate on a contingency fee basis. Let our many years of experience work for you.
Qi Yang (CRD 7439718) is a San Francisco, California broker. FINRA suspended him from association with any member firm in all capacities for six months and assessed a deferred fine of $5,000, according to an AWC issued August 10, 2026.
Thomas Jacobs (CRD 4139430) is a Bay City, Michigan broker. FINRA suspended him from association with any member firm in all capacities for two months and assessed a deferred fine of $2,500, according to an AWC issued August 3, 2026.
Mark Sullivan (CRD 2531982) is a Bethlehem, Pennsylvania broker. FINRA suspended him from association with any member firm in all capacities for three months and assessed a deferred fine of $10,000, according to an AWC issued August 6, 2026.
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