Mr. Keogh supervised the sales practice activities of 500+ registered representatives collectively at numerous New York City Merrill Lynch retail sales offices to ensure compliance with regulatory and firm policies. Frequently, Mr. Keogh analyzed, investigated and negotiated resolutions to allegations of sales practice violations and assisted counsel in the preparation of arbitration and regulatory inquiries. Additionally, as Eastern Sales Division Compliance Officer in the Law & Compliance Division, Mr. Keogh conducted branch office examinations and investigations. Mr. Keogh authored or co-authored several Merrill Lynch sales supervisory policies and procedures. In the capacity of Director of Compliance at an NASD member firm, Mr. Keogh was responsible for all CRD registration and pre-hiring requirements for the firm’s registered representatives and broker dealer. Mr. Keogh has provided testimony before FINRA, NYSE & SEC.
Mr. Gambaro’s long and prestigious Wall Street career spanned in excess of 45 years, concluding with his retirement from the position of Executive Vice President/ Chief Operating Officer at the New York Board of Trade (NYBOT). Mr. Gambaro received accolades for his instrumental role in developing NYBOT’s Business Continuity and Disaster Recovery Plan, which have become the model throughout the world for corporate preparedness.
Daniel Boemio serves as Administrative Officer at DJK Consulting. Daniel oversees activities of the securities consulting and expert witness firm including invoicing and retainer reconciliation.
Daniel is the website administrator and initiated the Constant Contact newsletter and mail marketing campaign.
Daniel started his finance career as a member of both the Compliance Department and Business Development team at LifeMark Securities Corp. Daniel headed their Social Media Initiative, which built the brands of the numerous financial advisors, and was the curator of LifeMark’s company page on LinkedIn.
Daniel holds a Bachelor’s of Science in Finance with a minor in Economics from York College of Pennsylvania.
Daniel has volunteered as a wrestling coach where he was the head instructor of the annual summer camp. In college, Daniel helped raise funds for various charities as a member of Rotaract Club and Alpha Phi Delta fraternity. He has also helped with Special Olympics events and volunteered at Duke Farms, a 2,700 acre estate-turned-nature reserve.
David began his career as a Business Analyst at Fidelity Investments where he designed systems to support business metric reports and developed procedures to monitor customer account adjustments. In addition, he has developed securities administration systems to support compliance, licensing, commission, and many other back office operations for other brokerage companies and registered investment advisors. Most recently, he has performed due diligence audits for separately managed accounts and advised on the new membership process for new broker dealers.
David has served and testified as an expert witness regarding industry procedures and securities trading. David is a member of the Association of Certified Fraud Examiners and a FINRA arbitrator.
David is a highly qualified financial analyst & securities industry expert. He holds a BS in Business Administration and an MBA from UMass Lowell. He holds the Series 4, 7, 24, 27, 53, 63, and 65 licenses.
Joseph began his career at Goldman Sachs where he spent 13 years and culminating with the roles of General Counsel, Vice President and Secretary for the Hedge Fund Strategies Group. From there, Joseph became the Senior Managing Director, Chief Operating Officer and Chief Legal Officer at Blenheim Capital Management.
Joseph received his BS in Computer Science and graduated Cum Laude in May of 1985 from St John’s University, and continued to the NY School of Law, where he graduated from in 1989. During his time at the NY School of Law, he was awarded the American Jurisprudence Award: Federal Regulation of Securities.