David J. Keogh is President of DJK Consulting LLC, a securities consulting and expert witness firm. Mr. Keogh began his multi dimensional career in the securities industry in 1983. Mr. Keogh is proficient in virtually all aspects of the brokerage industry such as compliance, operations, sales, budgets, supervision, and human resources. Mr. Keogh’s vast knowledge and experience was acquired as a result of the various duties and responsibilities associated with the management positions held throughout his career to date.

Areas of Expertise

• Compliance  • Mutual Funds   • Suitability
• Audits • Options • Selling Away
• Churning • Securities • Margin
• Misrepresentation • Fraud • Compliance Manuals
• Failure to Supervise • Branch Supervision • Sales Practice Violations
 • Breach of Fiduciary Duty • Policy and Procedure Manuals
Investment Manager Due Diligence • Registered Investment Advisor • GIPS-Global Investment • Performance Standards • Fiduciary Best Practices