Mrs. Méndez works on areas of transactional practice, including corporate law, commercial law, real estate finance, and banking, with particular focus on securities regulation aspects, licensing, commercial contracts, corporate governance and regulatory  and compliance matters.  She advises a diverse set of clients, with focus on financial institutions, such as banks, investment advisers and mutual funds.  In the commercial law area, she has represented both the lender’s and borrower’s side, and in the real estate finance area, she has represented developers throughout all the aspects of development construction, project financing, and closings for the sale of the projects.

Over her career, she held the Series 7 FINRA license, and served as Chief Compliance Officer of a Securities Exchange Commission (SEC) registered investment adviser.  She also served as in-house counsel for the investment adviser’s bank holding company in Puerto Rico, which forms part of a multinational financial conglomerate.  While in the in-house role, she counseled the full-spectrum of subsidiaries within the holding company, including the bank, securities broker-dealer, insurance agency, international banking entity, and information technology service provider.  She has experience in matters related to the U.S. Investment Advisers Act of 1940, the Dodd-Frank Wall Street Reform and Consumer Protection Act; the Gramm-Leach Bliley Act; and the Foreign Account Tax Compliance Act, among others.  Previous private-practice as an associate attorney with Puerto Rico-based law firms concentrated in corporate and real estate law, performing a wide range of transactional work pertaining to the organization and governance of activities performed by, and regulation of, business entities.  She also served various nonprofit legal service organizations dedicated to ensuring equal access to justice to indigent persons.

> CERTIFICATIONS

  • Investment Adviser Certified Compliance Professional (designation provided by NRS, co-sponsored by the Investment Advisers Association)
  • Previously licensed as a General Securities Registered Representative (FINRA Series 7)
  • Bloomberg Market Concepts Certificate

> EDUCATION

  • Marquette University Law School, Milwaukee, Wisconsin (Juris Doctor)
  • University of Puerto Rico, Río Piedras, PR (B.A.)

>ADMISSIONS

  • Puerto Rico State Bar
  • United States District Court of Puerto Rico
  • United States Court of Appeals for the First District
  • Notary Public in the Puerto Rico State Bar

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