"Dave is the consummate compliance professional. His extensive technical knowledge combined with years of "on the street" experience allow him to provide invaluable guidance to any financial adviser. Dave truly demonstrates that compliance is an essential dimension of a "best practices" model in financial services."

Vincent Micciche, Chief Executive Officer, LifeMark Securities Corp., worked with David at LifeMark Securities Corp.

"I worked with David for more than two years and kept in contact with him for the following 8 years. I have high praise for him as he has more integrity than any of the administrative managers with whom I've ever worked. You can always count on his honesty no matter what the endeavor. He was also a witness in my gender discrimination lawsuit against Merrill Lynch and was found to be a credible witness despite Merrill Lynch's attempts to distort his work experience and performance. I would like to add that he has a tremendous amount of knowledge about the industry and how it operates. I believe he is a great expert witness for this industry."
Nancy Thomas, Senior Financial Consultant, Merrill Lynch, worked directly with David at Merrill Lynch

"David was a very detailed and organized manager during his time at our flagship Fifth Avenue office. He was also very much respected and liked."

Gary Stern, First VP, Merrill Lynch, reported to David at Merrill Lynch, Pierce, Fenner & Smith

 "David was a very hard working and diligent performer. He understands the financial markets very well and could help anyone with these needs. David is also a friendly person who is easy to work with."

Olivier Khalil, Managing Director, Merrill Lynch, managed David at Merrill Lynch, Pierce, Fenner & Smith

 "Dave is a conscientious and diligent manager who operated in a very high powered, high stress business environment. He knows how to get things done, and was a great compliance officer. He was a pleasure to work with!"

Maria Robins, Director, Merrill Lynch, worked with David at Merrill Lynch, Pierce, Fenner & Smith

"David is a very detail oriented manager. He has the ability to see the larger picture and drill down the details to perfection. He is also a very good judge of people and has in the past always surrounded himself with the best teams in the business."

Radhika Mehta-Sharan, Financial Advisor, Merrill Lynch, reported to David at Merrill Lynch, Pierce, Fenner & Smith

 "I had the pleasure of working with/supporting Dave in his various responsibilities for well over a decade. I always found him to be conscientious, knowledgeable and extremely professional. As his counsel, he would do me the courtesy of checking for the latest legal developments and my opinion, but I always suspected that he really knew more than I did."

John Kilkenny, Senior Counsel and Vice President, Merrill Lynch, Pierce, Fenner & Smith Inc., worked with David at Merrill Lynch, Pierce, Fenner & Smith

"David was that marvelous blend of someone who absolutely took his role in compliance with the utmost integrity yet completely understood the business side. David was someone who would help you stay on the ethical and right side of issues but would also champion the business case. He helped me with many thorny issues related to staff and clients in order to achieve the best outcome for everyone. He was quite dedicated and loyal but with strong backbone and the willingness to work as long and as hard as necessary to always excel at what he did."

Janine Craane, Managing Director, WMA, CIMA, Merrill Lynch, worked directly with David at Merrill Lynch, Pierce, Fenner & Smith

"David Keogh is an outstanding professional with whom I had the pleasure of working as District Director of NYC for many years. I found David to be a man of high personal integrity who became a valued advisor and associate. His opinions were always well-researched, thoughtful and led to good decisions in critical areas...He found the most positive, RIGHT, solution to our issues. And....he is fun."

Linda Marcelli, Vice President, Lucky's Real Tomatoes, managed David at Merrill Lynch, Pierce, Fenner & Smith

 

"Compliance is one of the most important functions in the financial services industry. It involves getting the balance right between doing business and monitoring activity. I was a financial advisor in the office when David was one of the Admin Managers. In all my contacts with David I saw he took his job seriously, working to enable advisors to do business while protecting the firm."

Bryce Sanders, Financial Advisor, Merrill Lynch, worked directly with David at Merrill Lynch, Pierce, Fenner & Smith

 

"David was a hard-working and dedicated member of Merrill Lynch's Compliance Department, whose advice and guidance was often sought after by senior members of the legal and compliance management teams."

Mario Di Trapani, AVP - Compliance, Merrill Lynch, worked directly with David at Merrill Lynch, Pierce, Fenner & Smith