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Celiza (Lisa) Bragança

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  • Securities Law, White Collar Crime, Business Law...
  • Illinois
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Client Reviews
What Clients Are Saying
2 Recommends
A. F. Recommends July 9, 2024
Phenomenal Outcome Regarding FINRA Letter Hiring Lisa was one of the best decisions I could have made. She helped me successfully navigate crafting and submitting a timely letter in response to a 8210 Rule letter I received from FINRA, which thankfully and justly ended in FINRA "closing my file". I didn't have to appear in a FINRA hearing or pay a fine. Not only did was this outcome ideal, it was imperative for me and my family. I would highly suggest Lisa to anyone looking for competent, kind and professional counsel.

Celiza (Lisa) Bragança's Response: Thank you so much! Being able to get these kinds of results is the reason I do this work. A FINRA investigation generally is distracting and disruptive. Getting this kind of result in an efficient manner is something I endeavor to do every time. It was a pleasure to work with you.

J. C. Recommends May 12, 2024
Outstanding Attorney and Wonderful Person... Words I never thought I would say about an attorney – understanding, caring, compassionate and empathetic. Lisa Braganca is all of these and so much more. Best of all, she is an excellent attorney, knowledgeable, articulate and knows her stuff. Lisa is exactly who I needed when my former employer filed a complaint with FINRA, and I then received an 8210 Letter. Lisa is the attorney you want/need on your side. Don’t’ go it alone, you need Lisa to fight for you. After I resigned from my position, the employer, a national broker-dealer, and registered investment advisory firm, weaponized the regulator me. Shame on them. Lisa methodically dealt with a long list of questions and alleged violations of company policy listed in the 8210 Letter. She methodically answered all of the questions, which contained an extensive list of minute details, much of which was blatantly wrong. The firm didn’t even bother to sort out which issues were correct, and which were wrong on their part. They just piled on a long list of issues that were not vetted for accuracy. They tried to overwhelm FINRA and me. Thinking that I would just fold. If Lisa was not there for me, I think I might have given up. Lisa successfully put an end to this madness. After about three months, FINRA dismissed all of the allegations, there were no monetary penalties and no blemishes on my registration. I highly recommend Lisa, look no further for an attorney that is on your side. View More

Celiza (Lisa) Bragança's Response: Many thanks for your kind words. Being able to show FINRA that the statements your former firm made about you were false was a challenge. It means a great deal to me to have been able to help you through this difficult investigation - not just on legal questions but on how to work on focusing on things other than the investigation while it dragged on. I try to treat each client the way that I would want a lawyer to treat me.

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