DAVID DEE BOGLE is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 3720 E. 31ST, TULSA, OK, 74135.
DAVID DEE BOGLE has worked at LPL FINANCIAL LLC since September 08, 1998
DAVID DEE BOGLE has 2 Disclosure Event(s).
Date: December 17, 2002 Category: Customer Dispute Allegations: UNSUITABLE MUTUAL FUND PURCHASES IN OCTOBER 2000. Damage Amount Requested: $64,800.00
Date: September 11, 1998 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT MR. BOGLE WHILE AT HISFORMER BROKER/DEALER FSC SECURITIES SOLD UNSUITABLE PUTNAMMUTUAL FUNDS TO THE TRUST THAT RESULTED IN AN ALLEGTED LOSS OFPRINCIPAL OF APPROXIMATELY $15,000. Damage Amount Requested: $15,000.00 Broker Comment: FILING THIS AMENDMENT TO U4 PREVIOUSLY FILED IN 1998 TO REFLECT MATTER AS CLOSED. THE CUSTOMER WAS TAKING $10,000 YR FROM A $93,000 CD TO SUPPLEMENT HER 700/MONTH SOCIAL SECURITY. AT 70 YRS OLD THIS WOULD INDICATE SHE HAD A GOOD CHANGE OF OUTLIVING HER MONEY. TO MEET HER NEEDS & OBJECTIVES. I RECOMMENDED A CONSERVATIVE APPROACH USING THE PUTNAM G&I FD FOR $63,000 & PUTNAM M.M. FD FOR $30,000. I SET UP A DOLLAR COST AVERAGING PLAN FOR 1.5 YRS FROM THE MONEY MKT TO G&I FD. SHE PULLED 900/MNTH OUT TO SUPPLEMENT HER S.S. THE CUSTOMER'S ACCOUNT VALUE DECLINED WAS DUE TO THE OVER ALL DROP IN MARKET STARTING JULY 1998, PLUS SHE CONTINUED TO PULL 900/MNTH FOR INCOME. I HAVE TALKED TO THE CUSTOMER MANY TIMES SINCE ESTABLISHING HER ACCOUNT & SHE HAS ALWAYS SEEMED SATISFIED. AS OF 10/19/1998 THE CUSTOMER HAS RECEIVED $25,000 IN DISTRIBUTIONS FROM HER $93,000INVESTMENT & HER VALUE IS $8,2936. THIS IS A NET GAIN TO THE CUSTOMER OF $1,5930 SINCE INCEPTION.
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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
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