Jeffrey D. Noard

07/17/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JEFFREY D. NOARD, (CRD No. 1983392), Respondent. Disciplinary Proceeding No. 2012034936101 Hearing Officer-AHP HEARING PANEL DECISION July 17, 2015 Respondent recommended an unsuitable security to his customer in violation of NASD Rule 2310 and FINRA Rule 2010. Respondent is suspended in all capacities for ten business days, fined $2,500, and ordered to pay costs.

11/25/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jeffrey D. Noard, (CRD No. 1983392), Respondent. DISCIPLINARY PROCEEDING No. 2012034936101 Hearing Officer - COMPLAINT The Department of Enforcement alleges: SUMMARY 1. During June 2012, Respondent Jeffrey Noard made an unsuitable recommendation for investments totaling $20,000 to one of his elderly customers at Allied Beacon Partners, Inc.

05/12/2017: BEFORE THE NATIONAL ADJUDICATORY COUNCIL, FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter ol Department of Enforcement, Complainant, vs. Jeffrey D. Noard, Menomonee Falls, WI, Respondent. DECISION Complaint No. 2012034936101 Dated: May 12, 2017 Respondent's recommendation that a customer purchase an emerging growth company's renewable secured debentures lacked customer-specific suitability.

Reference 2012034936101data-portal.finra.orgdata-portal.finra.orgfinra.orgdata-portal.finra.org