JOE MENDOLA
(917) 359-5424
RESUME

EXPERIENCE: Magna Securities Corp. (FINRA Registered Broker Dealer)
Magna Pinpoint LLC (SEC RIA)
Magna Securities Global Ltd. (UK Based FSA Registered Broker)
New York, New York
2007 to Present

Legal Counsel and Chief Compliance Officer

Senior director charged with the oversight and execution of all legal and compliance matters for an SEC RIA, FINRA registered broker dealer and
a UK based FSA Registered Broker. Deep familiarity with Investment
Companies Act and Investment Advisers Act. Drafting documents to develop a myriad of structured products. Applying for and securing FSA and SEC registration. Drafting all compliance procedures with particular emphasis on
the interrelationship between UK, EU and US directives. Drafting legal documents with regard to the offering and procurement of financial products to be offered in multiple jurisdictions, particularly derivatives and currency based products. Managing trading desk to insure proper reporting, trade error resolution and compliance with all applicable rules. Establishing and implementing continuing education programs. Expert in global Anti-Money
Laundering rules. Monitoring and implementing AML policies appropriate for cross boarder transactions. Deep familiarity with FINCEN and its practices. Negotiating and drafting key contractual arrangements with fund managers and entities which offer alternative investment, derivative and currency based products. Drafting and implementing adequate policies and procedures, particularly procedures with regard to underwriting, mutual funds, anti-money laundering, equity trading and business continuity. Supervising a staff of up to 6 individuals.

Nikko AM International, Inc. (Registered SEC, CFTC, NFA, FINRA)
New York, New York
2000 to 2006

Executive Vice President, General Counsel, Chief Compliance Officer,
Chief Administrative Officer, Corporate Secretary

Senior executive responsible for all corporate governance, legal, compliance and regulatory issues for SEC, FINRA, NFA and CFTC registered US subsidiaries of large Japanese securities firm. Main responsibilities involve resolving complex compliance and regulatory issues relevant to the set-up and maintenance of off-shore based alternative investment vehicles (including hedge funds and fund of funds ), with a particular emphasis on currency and derivative based products. Negotiating and drafting trusts and asset management agreements. Mastering mutual fund compliance reporting. Devising various structured products for sale in the Pacific Rim. Monitoring Trading Desk compliance with rules relating to intra-market and cross market transactions involving equities, currencies, fixed income assets, distressed sales, swaps and hybrid securities, including derivatives and futures. Ensuring compliance with all applicable US and off-shore legal requirements, including regulations with regard to marketing and advertising. Devising suitable compliance programs to ensure satisfaction of bank secrecy, money laundering and other SEC and FINRA requirements. Maintaining compliance
with the 1940 Investment Advisors Act, as amended (along with its Japanese equivalent), the Edge Act, Regulation K, NFA, CFTC rules and all related regulations. Drafting policies and procedures manuals and managing all regulatory audits. Sustaining all official corporate books and records and serving as corporate secretary. Preserving all intellectual property rights on a world-wide basis. Devising, testing and updating all contingency planning. Supervising a staff of up to 6 individuals.

Wall Street Advisors (SEC Registered Investment Advisor)
Wall Street Access (NYSE and FINRA Member Firm)
New York, New York
1997 to 2000

General Counsel and Chief Compliance Officer

Senior manager responsible for all compliance and legal issues with regard to
SEC registered investment advisor and NYSE and FINRA member discount
brokerage firm. Heavy emphasis on investment advisory practice, particularly
the workings of the 1940 Investment Advisors Act, as amended. Deeply familiar with all investment advisory registration and compliance guidelines.
Devising internal procedures with regard to suitability, performance monitoring, choice of investment vehicles and mutual fund evaluation. Formulating and executing all procedures with regard to risk and firm exposure. Responding to all customer complaints, regulatory inquiries
and audits. Devising suitable “Chinese Wall" policies and ascertaining the
suitability of advertising and internet marketing. Monitoring the activities
of the Trading Desk and sales force to assure conformity
with FINRA, NYSE and SEC guidelines. Drafting and updating firm
wide policies and procedures
manual.

Law Offices of Joseph A. Mendola
Law Offices of Dominick J. Porto (Thornwater Securities, LP)
New York, New York
Miami, Florida
1991 to 1997

Securities attorney specializing in regulatory matters, particularly NYSE, FINRA and non US regulatory compliance, broker dealer registration and
SEC and blue sky compliance. Heavy exposure to FINRA/NYSE Trading Desk regulations and arbitration and alternative dispute resolution. Researching and drafting policies and procedures for broker dealers and investment advisors, particularly procedures concerning the maintenance
of internal integrity with regard to "Chinese Wall" issues. Assisting in the registration, set up and initial approval of FINRA member broker dealers. Supervisory responsibility for a team of 5 individuals.

Schulte, Roth & Zabel
New York, New York
1989 to 1991

Associate specializing in alternate dispute resolution. Conducting negotiations aimed at resolving soured international transactional
agreements, including the financing agreements with regard to the
Americas Tower commercial property in Manhattan.

Breed, Abbott & Morgan
New York, New York
1987 to 1989

Engaging in general corporate law practice with particular emphasis on complex overseas financial transactions, UCC compliance, contract negotiation/documentation and joint commercial ventures. Heavy exposure to state securities and disclosure laws as well as NASD, non-US and other regulatory directives.

EDUCATION: Columbia University School of Law
New York, New York
J.D. May, 1987

Honors: Best Oral Argument/Best Written Brief
Jerome Michaels Jury Trial Competition

Best Oral Argument
First Year Moot Court Competition

Rank: Top Third (approximate)

Fordham University
New York, New York
B.A. May, 1984

Honors: Summa Cum Laude
Phi Beta Kappa
Dean's List 1980 1984
Truman National Scholarship National Finalist

Rank: 3/605

BAR ADMISSIONS: New York February, 1988
New Jersey December, 1987
Florida November, 1995
U.S. District Court SDNY 1994
U.S. District Court EDNY 1994
U.S. Second Circuit Court of Appeals 1998
SECURITIES INDUSTRY
LICENSES: Series 3, 4, 7, 8, 14, 24, 27, 55, 63, 65