David J. Keogh is President of DJK Consulting LLC, a securities consulting and expert witness firm. Mr. Keogh has worked in the securities industry for 32 + years in various capacities and is proficient in virtually all aspects of the brokerage industry such as compliance, operations, sales, budgets, supervision, recruiting, human resources and investment banking. Mr. Keogh’s vast knowledge and experience was obtained as a result of the various duties and responsibilities associated with the senior management positions held throughout his career.
DJK Consulting provides litigation support, case consultation and expert witness testimony at arbitrations, mediations and court matters. Additionally, DJK Consulting provides consulting and recruiting services to many of the largest networks of Independent Broker dealers, Registered Investment Advisory firms and Insurance agencies nationwide.
Mr. Keogh has provided consultation or testimony in matters involving; Compliance Audits, Churning, Failure to Supervise, Employment, Misrepresentation, Mutual Funds, Options, Restricted Securities, Sales Practice Violations, Fraud, Branch Supervision, Breach of Fiduciary Duty, Suitability, Concentration, Selling away, Margin, Compliance Manuals, Policy and Procedure Manuals, FINRA and SEC Regulations, Private Placements, 1031 Exchanges, Elder abuse, and Unauthorized trading.
Mr. Keogh has obtained the Series 4, 7, 8, 63 & 65 securities licenses, the NY/NJ Health/Life and Accident Agent Licenses, and the Global Financial Steward Certification during his career.
David has been a member of the Securities Expert Roundtable since 2007, Director since 2013, and recently completed his term as President (2019-2020).
He has provided pro bono expertise and case consultation to Cornell and Seton Hall Law Clinics.
Mr. Keogh’s full CV can be found at www.djkconsult.com and LinkedIn profile www.linkedin.com/in/david-keogh-8554028
SER Voting Member