- Representing a bank holding company in $112 million and $150 million public offerings of common stock.
- Representing a national bank in an exempt $175 million public offering of subordinated notes.
- Representing a unitary thrift holding company in organizing a de novo federal savings bank to complete an FDIC assisted purchase of a $1 billion asset failed bank and the disposition of its mortgage servicing operations.
- Representing a Texas state savings bank in completing an FDIC assisted purchase of a $1 billion asset failed bank.
- Representing an SEC reporting bank holding company in completing more than 10 acquisitions of community banks.
- Representing a leading provider of bank data services in connection with its IPO, other securities transactions, governance and regulatory matters and its disposition to a larger IT services organization.
- Advising a Nevada thrift company in connection with its national branching program.
- Advising an SEC reporting financial services company in the successful resolution of a whistleblower complaint alleging errors or omissions in complex accounting matters.
- Advising an investor in making unsolicited offers to purchase common and preferred stock of a widely held community bank, calling a special meeting of shareholders and negotiating a standstill agreement providing a board seat.
- Serving as outside general counsel of an SEC reporting restaurant company and an SEC reporting, Texas-based bank holding company.
Mike has advised clients in complying with a broad range of regulatory requirements, reporting obligations and interactions with regulators, including the Federal Reserve, OCC and FDIC:
- Change of control, branch sale and failed bank transactions.
- Transactions with affiliates and officers.
- Capital and liquidity requirements.
- Preparing business plans covering nontraditional activities.
- Mortgage servicing.
- Consumer disclosures.
- Lender litigation.
- Preparing complex regulatory filings to address material transactions, disclosure of material adverse events and enforcement actions.