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Buchalter

Nikole K. Zoumberakis

Nikole K. Zoumberakis

Senior Counsel

Expertise

  • Corporate Law
  • Investment Fund/Investment Management

WSG Practice Industries

Activity

Buchalter
California, U.S.A.

Profile

Ms. Zoumberakis’ practice covers a wide range of corporate, partnership and general securities matters, including mergers and acquisitions, securities offerings and private equity transactions, with a focus on fund formation and investment advisor representation.

Her counsel covers a broad range of legal and compliance issues faced by fund sponsors and investment advisers, including structuring private investment funds, portfolio investments, co-investment structures, and internal governance and compliance. She also represents investment advisers servicing institutional clients and high net worth individuals. In particular, Ms. Zoumberakis advises clients on federal and state securities laws and regulations, the Investment Company Act of 1940, the Investment Advisers Act of 1940 and the Employee Retirement Income Security Act. A significant portion of her practice involves international funds and cross-border transactions.

In addition, Ms. Zoumberakis advises issuers and investors in the formation and financing of private and emerging growth companies. She also counsels public and private companies on mergers and acquisitions, strategic relationships, corporate governance, and other general corporate matters. She has been involved in transactions across a wide range of industries, including financial services, health care, consumer goods, technology, energy and utilities.

Prior to joining Buchalter, Ms. Zoumberakis was an associate at Dewey & LeBoeuf LLP, where she represented publicly-traded and privately-held companies and private equity firms with respect to domestic and cross-border mergers and acquisitions, financings, and corporate reorganizations.

Bar Admissions

  • California

Education

  • NYU School of Law
  • University of California, Berkeley
Areas of Practice

Corporate Law | Fund Formation/Investment Management | Investment Fund/Investment Management

Professional Career

Significant Accomplishments

  • Continued representation of U.S. and non-U.S. registered investment advisers and exempt reporting advisers with assets under management ranging from less than $20 million to over $60 billion.
  • Represented Heritage Commerce Corp in its acquisitions of various regional banks, most recently Presidio Bank.
  • Represented OP Bancorp, the bank holding company for Open Bank, in its initial public offering of common stock and its listing on the Nasdaq Stock Market.
  • Represented Puget Sound Energy, Inc. in its acquisition of Mint Farm Energy Center.
  • Represented First Albany Companies Inc. in connection with the sale of a controlling interest to an affiliate of MatlinPatterson Global Opportunities Partners II.
  • Represented First Albany Companies Inc. in connection with the sale of its municipal capital markets business to DEPFA Bank plc.

Articles

  • Amendment to State Law Governing Shareholder Distribution
  • Amendment to the California Corporations Code Governing Corporate Distributions and Dividends to Shareholders


WSG's members are independent firms and are not affiliated in the joint practice of professional services. Each member exercises its own individual judgments on all client matters.

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