Selected Experience

Nikki Wolontis has specialized in representing commercial banks and bank holding companies for over 35 years in connection with corporate securities and banking laws, general corporate matters, regulatory issues and applications, corporate governance, and mergers and reorganizations. Her securities law experience includes numerous securities registrations and equity offerings, including rights offerings, underwritten and best efforts public offerings, registered direct offerings, private placements including PIPE transactions, and Exchange Act registrations; NASDAQ listings and ongoing issues for listed companies; representation before the SEC on various matters; proxy contests for NASDAQ listed companies and others; public reporting compliance for financial intuitions and their affiliates; and various shareholder relations matters. Ms. Wolontis’ regulatory practice covers chartering and organization of financial institutions, applications relating to expanded activities and powers, charter conversions, insider lending compliance, enforcement proceedings, holding company reorganizations, and miscellaneous regulatory issues including representation before the FDIC, OCC, Federal Reserve Board, and the California Department of Financial Institutions.

Ms. Wolontis handles all types of corporate law matters for financial institutions, including management relations and employment matters, equity compensation plans, corporate structure, and corporate reporting and documentation requirements. In the corporate governance area, she handles compliance with Sarbanes-Oxley, SEC and NASDAQ governance requirements, including guidance and preparation of documentation concerning related board and committee functions, procedures, and oversight. She has also assisted with numerous mergers and acquisitions, primarily with respect to the securities law aspects of the transactions.