MEMBER HIGHLIGHT - SER member David J. Keogh, President of DJK Consulting LLC, was a guest lecturer at the University of Miami School of Law. On September 23rd, Mr. Keogh spoke to law students enrolled in the law school’s Broker-Dealer Regulation course, and student interns enrolled in the Investor Rights Clinic. Clinic Director and Lecturer, Teresa J. Verges, moderated the discussion with Mr. Keogh, who provided students with the background and overview of broker-dealers’ compliance and supervisory obligations under SEC regulations and FINRA rules. Drawing upon his wealth of experience in the securities industry, Mr. Keogh provided students with insights into the financial industry and the critical role of compliance. SER encourages member pro bono participation in Securities Arbitration Clinics through teaching, consulting, and expert testimonial services. (If you would to participate, please complete the member interest survey if you have not done so already.)
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