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32 years of experience
Securities Law, White Collar Crime, Business Law...
Illinois

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Client Reviews

What Clients Are Saying

5 Recommends

J. L. Recommends January 23, 2025

Security Exchange Commission Subpoena Receiving a subpoena from the SEC can undoubtedly trigger immense stress and anxiety. If you find yourself in such a situation, I wholeheartedly endorse hiring Celiza Braganca to guide you through the process. Speaking from personal experience, her professional expertise and empathetic approach significantly reduced my nervousness and boosted my confidence, making the entire ordeal more manageable. Her support throughout this challenging time was invaluable, and I believe you would benefit greatly from her services. View More

Alicia W. Recommends January 15, 2025

Trustworthy, wicked-smart, and approachable. Navigating the complex world of law and regulations can feel overwhelming—unless you have Lisa by your side. From the start, Lisa made it clear that her clients are more than just cases to her. She took the time to truly understand my unique needs and provided thoughtful, tailored support every step of the way. What sets Lisa apart is her perfect blend of professionalism, intelligence, and warmth. She has an incredible ability to explain complex legal concepts in a way that’s both clear and relatable, making even the most intimidating topics feel manageable. Her approachable nature encouraged open communication, allowing me to ask questions without hesitation and feel confident throughout the process. Lisa is more than a lawyer—she’s a partner in your success. I wouldn’t hesitate to work with her again and would recommend her to anyone looking for a skilled, compassionate legal expert who truly has your back. View More

Celiza (Lisa) Bragança's Response: Thank you for your kind words. It is a privilege to use my experience at the SEC doing investigations and at big law firms defending corporations in these investigations to help individuals and small businesses. Not only do I try to get the best possible result but I also want to help reduce the stress and anxiety that everyone experiences when contacted by the SEC or another government agency.

James E. Recommends December 18, 2024

If FINRA contacts you, YOU should contact Lisa. Lisa is true professional who performed beyond expectations. She guided me through a long stressful FINRA examination that went on for over 2 + years, that was recently concluded with a FINRA cautionary letter that will not be reported on my U-4. I am immenselfy grateful for her exceptional legal services that secured an extremely positive outcome for me and my private wealth advisory practice and 30 year professional career.

Celiza (Lisa) Bragança's Response: It means a great deal to me to make sure that people who have invested so much of their heart and soul into serving their clients like you are able to get the best possible result in a FINRA investigation. It was a pleasure to work with you and to get this result.

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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