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Michael J. Diver

Partner
michael.diver@kattenlaw.com
Chicago Office
p+1.312.902.5671
f+1.312.902.1061
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 securities litigation and regulatory matters. A former Branch Chief in the Division of Enforcement of the SEC's Chicago Regional Office, Diver's experience covers a broad array of securities litigation and enforcement matters. His recent engagements include matters related to securitizations and other structured products transactions, investment adviser and hedge fund activities, broker-dealer sales practices, insider trading, municipal securities transactions, public company financial reporting and disclosure, and the Foreign Corrupt Practices Act (FCPA). He also regularly advises clients in connection with corporate governance matters, shareholder claims, internal investigations, financial restatements, SEC regulatory examinations, and Financial Industry Regulatory Authority, Inc. (FINRA) and stock exchange inquiries. Michael has been praised for his ability to "instill confidence that the client is in good hands" and for his "calm and rational" approach (U.S. News – Best Lawyers® "Best Law Firms").

Prior to joining the firm, Michael served as a branch chief in the SEC's Division of Enforcement. 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 market manipulation and disclosure fraud case.

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

Shown below is a selection of Michael’s engagements.

Recognition

Legal 500, 2015–2017

BTI Client Service All-Star

BTI Client Service All-Star, 2014
Super Lawyers, 2017
Presentations
September 28, 2017
Presenter | Navigating Ethics and Professionalism Requirements | Understanding the Securities Laws 2017 | Chicago, Illinois
June 7, 2017
Speaker | PLI Internal Investigations 2017 | Chicago, Illinois
October 29, 2016
Moderator | Navigating Ethics and Professionalism Requirements | PLI Understanding the Securities Laws | Chicago, Illinois
June 7, 2016
Speaker | PLI Internal Investigations 2016 | Chicago, Illinois
October 27–28, 2015
Speaker | PLI Understanding the Securities Laws | Chicago, Illinois
June 9, 2015
Speaker | PLI Internal Investigations 2015 | Chicago, Illinois
June 10, 2014
Speaker | PLI Internal Investigations 2014 | Chicago, Illinois
October 24–25, 2013
Speaker | PLI Understanding the Securities Laws | Chicago, Illinois
June 1, 2012
Critical Steps in Handling an SEC Investigation | NYSE Corporate Board Member Webinar | Webinar
April 1, 2012
Presenter | Insider Trading Compliance: Mitigating Risk in an Era of Heightened Scrutiny | Webinar
Michael J. Diver

Education

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

Bar Admissions

  • Illinois

Court Admissions

  • US District Court, Northern District of Illinois

Recognition

Legal 500
2015–2017

BTI Client Service All-Star

2014
Super Lawyers
2017
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Memberships

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