About DJK Consulting, LLC.
Arising from the 2002 New York State Attorney General investigation of the conflict of interest practices on Wall Street, DJK Consulting was founded by David J. Keogh in 2003. DJK Consulting, a nationally recognized consulting firm, provides case analysis, litigation support, and expert testimony for the financial services industry and legal community. In addition, DJK Consulting provides consulting and recruiting services to wirehouse and independent financial advisors and firms nationwide.

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