Michael J. Diver is the head of Katten’s Chicago Securities and Enforcement Litigation practice. He represents public companies, financial services firms and other regulated entities, as well as their individual officers and directors, in matters before the SEC and other regulatory bodies. A former Branch Chief in the Division of Enforcement of the SEC’s Chicago Regional Office, Diver’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, and disclosure and financial fraud. He has brought a multitude of investigations to closure with no action taken against his clients, even after their receipt of Wells notices. He also regularly advises clients in connection with corporate governance matters, internal investigations, financial restatements, special accounting reviews, and 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.