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Celiza (Lisa) Bragança

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SEC FINRA Defense, Whistleblower Protection & Recovery of Investment Losses
  • Securities Law, White Collar Crime, Business Law ...
  • Illinois
Review This Lawyer
Lawyer Rating and Reviews
Legal Knowledge
5.0/5.0
Legal Analysis
5.0/5.0
Communication Skills
5.0/5.0
Ethics and Professionalism
5.0/5.0
Rating: 9 Lawyer Rating - 9 out of 10
She impressed me from our first conversation and every communication we have had since. My only complaint is she doesn’t practice here in California, where I practice, so I don’t have the opportunity to work with her as often as I like.
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Biography

Lisa Bragança protects individuals and businesses from being bilked by Wall Street and bullied by regulators. She knows how to get important information to securities regulators early, before they have reached a decision on whether to charge and what to charge. Lisa served as a Branch Chief in the Division of Enforcement of the Chicago Office of the Securities & Exchange Commission, where she handled investigations of accounting fraud, Ponzi schemes, insider trading, churning, and unsuitability. While at the SEC, Lisa collaborated with the federal criminal prosecutors in securities fraud investigations at major corporations.

Since leaving the SEC, Lisa has represented financial advisors, company employees, executives, CEOs and others in SEC, FINRA, and state securities regulatory investigations and litigation. Lisa has assisted people in determining whether and how to report violations of securities laws to the SEC Office of the Whistleblower and other government agencies. Lisa has recovered millions of dollars in investor losses via court litigation and arbitration.

Lisa is a triple graduate of the University of Chicago. She has a B.A. (with honors) and J.D./M.B.A. (Order of the Coif, honors). She is a member of the Women's White Collar Defense Association (WWCDA), the Public Investor Advocate Bar Association (PIABA), the Chicago Bar Association (CBA), and the Illinois State Bar Association (ISBA). She is often asked to comment on securities regulation by media like CNBC, Fox Business News, CoinDesk.TV, and leading securities news outlets.

Practice Areas
Securities Law
White Collar Crime
Business Law
Business Litigation, Partnership & Shareholder Disputes
Stockbroker & Investment Fraud
Video Conferencing
  • Zoom
Fees
  • Free Consultation
    Contingency fee, fixed fee, and hourly rates available.
  • Contingent Fees
Jurisdictions Admitted to Practice
Illinois
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7th Circuit
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Languages
  • English: Spoken, Written
Professional Experience
Owner/Attorney
Bragança Law LLC
- Current
Lisa Braganca started Braganca Law LLC to make sure that client interests are always first. Lisa's experience as an SEC Branch Chief with the Enforcement Division gives her a unique and valuable perspective in representing individuals and businesses in SEC, FINRA, and state securities regulatory investigations, as well as investors in court and FINRA arbitration, in representing whistleblowers reporting fraud to SEC and other agencies. Lisa has successfully represented individuals targeted by, and involved in, regulatory investigations including SEC investigations of alleged fraud and insider trading. Lisa also helps people decide whether and how to self-report possible violations of securities laws in order to get the best possible result.
Trial Attorney
Stoltmann Law Offices
-
Legal Director
Access Living of Metropolitan Chicago
-
Partner
Sperling & Slater, PC
-
Branch Chief
Securities & Exchange Commission
-
Education
University of Illinois Chicago School of Law
J.D. (1992) | Law
-
Honors: Honors and Order of the Coif
Activities: Mandel Legal Aid Clinic
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University of Chicago
MBA (1992) | Industrial Economics
-
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University of Chicago
B.A. (1984) | Economics
Honors: Graduated with Honors
University of Chicago Logo
Awards
Leading Lawyer 2018-2022
Leading Lawyer
Lead On
Access Living of Metropolitan Chicago
Award for service as class counsel in three class actions brought to compel the State of Illinois to serve people with disabilities in community-based settings rather than nursing facilities
Professional Associations
Illinois State Bar Association
Member
- Current
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Womens White Collar Defense Association
Member
- Current
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PIABA - Public Investor Advocate Bar Association
Member
- Current
Activities: Member of Fiduciary Standards Committee and Annual Meeting Committee. Presenter at 2015 and 2016 Annual Meeting.
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Chicago Bar Association
Member
- Current
Activities: Securities Law Committee - organizing February 2018 CLE program Former Chair of Securities Law Committee
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State Bar of Illinois  # 6226636
Member
- Current
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NAELA
Member
-
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League of Women Voters of Wilmette
Board Member
-
Activities: Coordinate the Observer Corps team which attends and reports on meetings of local governmental entities
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Publications
Articles & Publications
2021 Updated Study on FINRA Expungements - A Seriously Flawed Process
The PIABA Foundation
Business Law: Misc. Operating Issues Illinois State Regulation of Securities
IICLE
Aging & Money, Perspectives from Financial Institutions - co-author of chapter with Lisa Bleier
Springer Pub
2019 Study on FINRA Expungements
The PIABA Foundation
Dipping Your Analog Toe into Digital Coins
ABA Law Practice Magazine
Cryptocurrencies and Tokens: What are they and who regulates them, co-author with Louis Straney
PIABA Bar Journal
Speaking Engagements
Apes Together Strong Documentary - the story of what happened when investors in GameStop and AMC investors ran up against a system that favors the establishment, www.apestogetherstrongdoc.com, Available on Amazon and at apestogetherstrongdoc.com
https://youtu.be/TwNzVWDDb6s
AMA (Ask Me Anything) with Apes - answering questions about SEC, securities regulation, and what investors can do, SuperStonk AMA - Reddit, https://youtu.be/TwNzVWDDb6s
SuperStonk
https://youtu.be/TwNzVWDDb6s
Securities Law in the Trump Administration, Chicago Bar Association Securities Law Committee CLE, Chicago, IL
Chicago Bar Association
Creative Counters to Dirty Deeds, PIABA Annual Meeting 2017, Colorado Springs, CO
Public Investor Advocacy Bar Association
How to counter discovery and trial antics of broker counsel in FINRA arbitrations
Elder Financial Abuse by Brokers, webinar
National Association of Elder Law Attorneys - Illinois Chapter
How to identify and address elder financial exploitation by brokers
Dishonesty is like a virus, Skokie, Illinois
Rotary Club of Wilmette
Discussion of how dishonesty can infect organizations using Arthur Andersen & Company as an example.
Websites & Blogs
Website
Celiza Patricia Braganca's Website Profile
Website
Bragança Law LLC Website
Blog
secdefenseattorney.com
Contact & Map
Bragança Law LLC
By Appointment Only
5250 Old Orchard Rd
#300
Skokie, IL 60077
Telephone: (847) 906-3460
Monday: Open 24 hours
Tuesday: Open 24 hours
Wednesday: Open 24 hours
Thursday: Open 24 hours (Today)
Friday: Open 24 hours
Saturday: Closed
Sunday: Closed
Notice: Call to schedule a free consultation.
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