Michael J. Diver

Partner
michael.diver@kattenlaw.com
Chicago Office
p+1.312.902.5671
f+1.312.902.1061
vCard
Overview

Michael J. Diver is the head of Katten's Chicago Securities Litigation and Enforcement practice. He represents public companies, financial services firms and other regulated entities, as well as their individual officers and directors, in matters before the Securities and Exchange Commission (SEC) and other regulatory bodies. A former Branch Chief in the Division of Enforcement of the SEC's Chicago Regional Office, Dive's experience covers virtually all areas of capital markets regulatory enforcement, including matters related to securitization and other structured products transactions, investment adviser and hedge fund activities, broker-dealer regulation, insider trading, municipal securities transactions, public company accounting and disclosure. He also regularly advises clients in connection with corporate governance matters, internal investigations, financial restatements, special accounting reviews, SEC regulatory examinations, and Financial Industry Regulatory Authority, Inc. (FINRA) and stock exchange inquiries.

Prior to joining the firm, Michael served as a branch chief in the Division of Enforcement of the SEC's Chicago Regional Office. In this role, he was responsible for managing a team of enforcement attorneys in investigating and prosecuting violations of the federal securities laws, including cases involving complex financial fraud, market manipulation, insider trading, and violations of broker-dealer, investment adviser and investment company regulations. He prevailed in a number of litigated enforcement proceedings, including a high-profile case involving market manipulation by a registered investment adviser.

Michael writes and lectures regularly on various topics relating to regulatory enforcement, including current enforcement trends and priorities, corporate and individual cooperation criteria, whistleblower complaints, insider trading and best practices in defending against regulatory inquiries.

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Recognition

BTI Client Service All-Star

BTI Client Service All-Star , 2014
Advisories
Speaking Engagements
June 10, 2014
PLI Internal Investigations 2014 | Chicago, Illinois
October 24–25, 2013
PLI Understanding the Securities Laws | Chicago, Illinois
June 1, 2012
"Critical Steps in Handling an SEC Investigation," NYSE Corporate Board Member webinar
April 1, 2012
"Insider Trading Compliance: Mitigating Risk in an Era of Heightened Scrutiny," Katten webinar

Education

  • JD, Lewis & Clark Law School
  • BA, Bucknell University

Bar Admissions

  • Illinois

Court Admissions

  • US District Court, Northern District of Illinois

Recognition

BTI Client Service All-Star

2014
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Memberships

  • American Bar Association
  • Association of Securities Exchange and Commission Alumni
  • The Chicago Bar Association
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