RUSSELL O. HODDER JR.

08/17/2005: NASD REGULATION, INC. OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant vs. RUSSELL O. HODDER, JR. Registered Representative (CRD No. 2179109) Respondent Disciplinary Proceeding No. E8A2003076301 Hearing Officer COMPLAINT Upon information and belief, Complainant alleges as follows: 1. From on or about January 1, 1999 to on or about September 9, 2003, Russell O. Hodder, Jr. (''Respondent Hodder") was registered as a General Securities Representative with Oppenheimer & Co., Inc. ("Member") a

01/24/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. RUSSELL O. HODDER, JR. (CRD No. 2179109), Respondent. Disciplinary Proceeding No. E8A2003076301 Hearing Officer - RSH DEFAULT DECISION January 24, 2006 Respondent made unauthorized transactions, in violation of NASD Conduct Rule 2110, misused customer funds, in violation of Conduct Rules 2330 and 2110, and failed to respond to NASD requests for information, in violation of Procedural Rule 8210 and Conduct Rule 2110. For each of these

Reference E8A2003076301data-portal.finra.orgfinra.orgdata-portal.finra.org