David James Keogh
Consultant/Expert Witness, DJK Consulting LLC
235 Route 22 East
Green Brook, NJ 08812
Compliance Audits, Churning, Failure to Supervise, Misrepresentation, Mutual Funds, Options, Restricted Securities, Sales Practice Violations, Securities, 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, Unauthorized trading.
David J. Keogh is President of DJK Consulting LLC. Mr. Keogh has worked in the securities industry for 33 + years in various capacities most recently as the Director of Compliance at LifeMark Securities Corporation a nationally registered broker/dealer and SEC registered RIA. DJK Consulting L.L.C. provides expert witness consulting and testimony at arbitrations or mediations, and is available nationwide.
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, human resources and investment banking. 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.
Recommendations available at www.djkconsult.net or David Keogh's LinkedIn profile