John Katovich

John Katovich

John founded this firm in 2001, providing general legal counsel to start-up and mid-level companies, exchanges and broker-dealers. He also began teaching Capital Markets at the Presidio Graduate School MBA program in San Francisco in 2005 and continues to teach there.

John has been involved in a wide range of legal and financial services throughout his career.  After practicing law in Chicago, he began his capital markets path as an Assistant Specialist at the Pacific Stock Exchange in 1983, and later joined the exchange as an enforcement and regulatory attorney.  He became their General Counsel and Secretary from 1987 to 1998, responsible for all legal and regulatory matters.  From 1998 to 2001, John served as General Counsel and Secretary for OptiMark Technologies, which employed proprietary computer-based trading methods, and served as the EVP and General Counsel of ePit, which provided enterprise-class trading and exchange software for world-wide markets.  He served on the executive management team for each of these companies as well.

Most recently, John joined the Boston Stock Exchange in 2007 as EVP and Chief Legal Officer, responsible for all legal matters, including the merger and acquisition activity with NASDAQ OMX, and BSE’s sale of its BOX ownership to the Montreal Exchange, and was responsible for all regulatory matters involving the BSE and BOXR, including reviews, investigations, examinations and enforcement actions.

As counsel in the financial-services industry and in his private practice, John’s experience has touched upon all areas of securities and corporate law and management, including general advisory matters, regulatory and legislative issues, debt and securities financings, product development, licensing, IP, mergers and acquisitions, internal investigations, enforcement actions, litigation, arbitration, and employment matters. He also co-developed two patents involving trading methods.  In addition, he has represented and dealt with major securities regulators and governmental entities, including, among others, the SEC, FINRA, state regulators, Congressional banking and finance subcommittees, the CFTC, and emerging/developing country governments as an advisor and consultant in capital market development.  He has also been an exchange participant in front of the U.S. Supreme Court.

John also served as an Adjunct Professor at the University of California, Berkeley, and INSEAD, France, teaching Options and Regulation.

John received his law degree in 1979 after attending Southern Illinois University School of Law and John Marshall Law School in Chicago, and received his undergraduate degree from the University of Illinois at Urbana-Champaign in 1976.  He completed the Executive Program on Negotiation at the Harvard Business School, and holds a Series 7 License.  He is licensed to practice law in the state and federal district courts in both California and Illinois.

John currently lives in Berkeley, CA with his wife, Lisa. His son Kiefer and daughter Scout are now working in their desired fields of study after graduating from Stanford and Columbia. John spends any extra time playing music, painting, woodworking, wine-making, reading and studying film.

Recent Publications

“Is Corporate Ownership Dissolving? High-frequency trading and what it means for the movement to bring the casino economy back to reality.”

John Katovich was recently quoted in the following publications:

“The Investment Professional.” Click here to get to the article entitled “The Sustainability Education Gap: How Business Programs Fail (and Succeed) at Integrating Sustainabilityby Susan Arterian Chang.

The Christian Science Monitor. The article, written by David Grant, is entitled “Four financial innovations for a new generation.”
Click here to read it.