David J. Keogh

Consultant Expert Witness @Financial Advisor Recruiter Transition Consulting

Somerville, NJ, US

David J. Keogh is President of DJK Consulting LLC, a securities consulting and expert witness firm. Mr. Keogh had 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. 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. 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 (20••••20).

St. Peter's College

Business Administration and Management, General