Mendy is a partner in the firm’s Business Litigation practice group. His experience includes federal and state court litigation and arbitration in areas of law including complex breach of contract, shareholder and securities litigation, class action defense, business torts, fraud, internal investigations, copyright and trademark, and SEC and FINRA investigations.
Mendy represents clients in a wide range of industries, including asset-based lenders, real estate developers, financial institutions, broker-dealers, tech companies, and private equity funds. Mendy also counsels alternative commercial financing and merchant cash advance (MCA) companies on various legal needs, including capital formation, asset deployment, brokering arrangements, syndication and participation agreements, regulatory compliance, and litigation.
Prior to joining Thompson Hine, Mendy was a partner at a New York-based firm that specializes in serving the securities industry where he was a securities and commercial litigator and led that firm’s alternative commercial financing and MCA practice. Mendy began his career at the New York State Attorney General’s Office, Investor Protection Bureau, where he investigated and prosecuted violations of New York’s securities laws. He continued his legal career at the SEC, working on a wide variety of federal securities matters.
Securities and Financial Services
- Defended public company CFO in class action and derivative shareholder litigation regarding restatement of financial statements and internal controls.
- Defended investment bank against claims of false proxy statement and market manipulation.
- Defended regional bank in lawsuit asserting section 14(a) claims for inadequate proxy disclosures regarding vote on bank’s compensation plan.
- Represented acquiring public company in accounting dispute regarding valuation of purchased asset.
- Represented public company issuers and debt investors in convertible note disputes.
- Defended smart-glasses maker against stock-drop class action alleging improper stock promotional scheme.
- Defended public company against derivative action alleging breaches of fiduciary duty in mismanagement of company affairs.
- Defended investment banking individual in SEC action for insider trading and countersued the SEC for unconstitutionality of its administrative law judges.
Commercial Litigation and Arbitration
- Represented introducing broker-dealer in commissions dispute with executing broker-dealers.
- Defended against lawsuit seeking advisory fees for funding of Staten Island Ferris wheel.
- Represented national food manufacturer in finder’s fee dispute with financing broker.
- Represented licensor in action for royalties under a trademark license agreement and to enjoin pending reverse merger and spin-off.
- Defended post-merger entity against claims of breach of promissory note and fraudulent conveyance of collateral.
- Represented licensee in software licensing agreement and copyright infringement dispute.
- Represented broker-dealers in arbitration of customer disputes.
- Represented broker-dealer in action against its former executives for participation in international bribery scheme.
- Represented broker-dealer in dispute for refund of “soft-dollar” commissions.
- Represented crypto-currency investor lawsuit seeking delivery of the crypto-tokens and terms of the ICO.
Real Estate Litigation
- Represented principals of real estate investment fund in multi-jurisdictional business divorce.
- Defended real estate investment firm against claims of breach of environmental remediation joint venture agreement.
- Represented real estate developers in lawsuits regarding seller’s concealment of commercial properties’ financial condition.
- Represented assignee of interest in commercial real estate in dispute with subsequent security interest holders.
- Represented NASDAQ-listed company in SEC investigation of restatement of financials and accounting controls.
- Defended broker-dealer in FINRA investigation of sales practice violations and compliance program.
- Defended entity in SEC investigation for market manipulation and section 3(a)(10) violations.
- Defended individual against SEC investigation for sales of unregistered securities.
- Conducted internal investigation of broker-dealer regarding international bribery scheme and violations of the Foreign Corrupt Practices Act.
- Defended broker-dealer in parallel SEC and DOJ investigations of violations of the FCPA.
- “NY Mandates Disclosures for Small Commercial Loans and Nontraditional Financing,” Bloomberg Law, January 2021
- “INSIGHT: Syndicated Loan Industry Gets a Win in New York Federal Court,” Bloomberg Law, July 2020
- “Supreme Court Upholds SEC Disgorgement Powers, With Limitations,” Thompson Hine Securities Litigation Update, June 2020
- “INSIGHT: Covid-19 Securities Class Actions—Forecasts and Challenges,” Bloomberg Law, April 2020
- “SEC Sues Convertible Debt Lender for Alleged Registration Violation,” Thompson Hine Investment Management Update, March 2020
- “Removing Nevada Derivative Litigation to Federal Court,” Law360, March 3, 2017
- New York City Bar Association
- Member, Securities Litigation Committee, New York City Bar Association
January 15, 2021
July 06, 2020
April 15, 2020
July 07, 2019