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Articles Posted in Investor Protection

What Laws Govern the Securities Industry?
Bragança Law LLC

We aggressively protect our client’s rights, whether they’re businesses, investors, financial professionals, or whistleblowers. The tools of our trade are federal and state laws that regulate the securities industry and protect those who may be abused by it. Other laws or legal doctrines may also apply to participants in the securities industry. They include state…

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Aging and Money – Reducing Risk of Financial Exploitation and Protecting Financial Resources
Bragança Law LLC

With good reason, financial elder abuse has been characterized by some experts as “the crime of the 21st Century.” – Broken Trust: Elders, Family and Finances. Metlife Study, March 2009 The second edition of Aging and Money was just released including a chapter that I co-wrote with Lisa Bleier of SIFMA, entitled Perspectives from Financial…

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Equity Indexed Annuities – Fran Tarkenton Loves Them
Bragança Law LLC

Fran Tarkenton loves equity indexed annuities. That does not mean you should. Tarkenton is 79 years old and encouraging elders to purchase equity indexed annuities (also called fixed indexed annuities) as a way to protect themselves from elder financial abuse. That’s right. Fran Tarkenton is encouraging elders to purchase these high fees, non-liquid insurance products…

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Determining Client Capacity
Bragança Law LLC

The American Bar Association recently published some very helpful guidance for lawyers in considering client capacity to make legal and other decisions. The most important directive is that the correct question is NOT whether a client has capacity — it is whether a client has capacity TO DO A PARTICULAR THING. Persons with significant cognitive…

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Client Reviews

Thank Goodness for Lisa Braganca...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...

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Amazing experience!!! Hello I hired Lisa because my previous company I was working with put me in a very bad position and was looking at getting banned from selling securities and possibly much worse. Lisa took...

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Lisa made it very clear from the beginning that her goal was to be the best attorney I ever had. She manabed to do just that. Never before had I experienced a combination of such genuine care, knowledge and...

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When you are faced with the SEC looking at you for possible violations it can be one of the most unpleasant experiences. Working with Lisa Braganca made our situation 1000x easier. She worked with other...

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I cannot recommend Celiza (Lisa) Braganca enough for the tireless work she's done for me, my partner, and our business. Facing potential SEC questioning is incredibly overwhelming and daunting, but Lisa brings...

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I had the unpleasant experience of receiving a call from the SEC informing me that I was the target of an investigation. Having never dealt this with before, I was unsure of how to proceed. I was fortunate...

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Our firm came under an SEC investigation for a $12m+ crypto offering. Despite some muddy waters, and internal shareholder concerns, Ms. Braganca kept me clear of the SEC enforcement actions on account of her...

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