Client Reviews

I highly recommend Lisa Braganca. She is incredibly knowledgeable, professional, and easy to work with. Her expertise, attention to detail, and guidance made a difficult situation much easier to navigate, and the outcome exceeded expectations. A fantastic attorney and trusted advocate.

Extremely Happy with Lisa Braganca. Lisa used her many years of experience to help me navigate my case. She was very thorough and strategic. The amount of preparation was extensive which ultimately led to an excellent outcome. I feel very fortunate that I found her and can't say enough good things about her expertise. She is the best.

I highly recommend Lisa for anyone facing a FINRA inquiry. During our challenging two-year process, she navigated the complexities with expertise and compassion. Lisa is a fierce advocate for her clients, balancing firmness with support, which made a daunting experience much more manageable. Her measured approach and years of experience provided invaluable guidance. If you need a dedicated attorney, Lisa is the one to choose.

Best attorney to have in your corner!! Lisa is an exceptional attorney, and I would recommend her without hesitation to anyone facing a FINRA investigation, OTR, 8210 request, or any serious regulatory issue. From the moment I worked with her, it was clear that she has a depth of knowledge in this area that is very hard to find. She understands the FINRA process, the strategy, the nuances, and the pressure that comes with being under investigation. More importantly, she was able to identify arguments, facts, and angles that I had not even considered. What stood out most was how thoroughly she prepared me. She did not just give general advice. She walked me through the process, helped me understand what mattered, and made sure I was ready. She fights for her clients, but she is also thoughtful, strategic, and incredibly detail-oriented. She not only is incredibly compassionate but will fight for you tooth and nail. One of the best decisions I made was hiring Lisa. My only regret is that I did not hire her sooner, because it would have made the entire process far less stressful and much easier to navigate. She helped me amend my 8210 response and prepared me for my OTR in a way that gave me confidence and clarity. Having her by my side made all the difference in the world. If you are dealing with FINRA, do yourself a favor and call Lisa. She is exactly the kind of attorney you want in your corner.

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 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.

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 the time to hear out my entire situation without any retainer and from there of the 10 interviews I had with different lawyers she stood out as the most genuine and had the best results. After I had hired her the best case scenario is exactly what happened. I ended up not being charged with anything. Through this process Lisa wasn’t scared to tell me the harsh truth but in the softest way possible. When you are an individual in this type of situation and it can very scary and overwhelming and Lisa was very good at helping me through the ups and downs. I don’t think I could have possibly hired a better lawyer for this case. Also she is one of the only lawyers I have ever worked with that was extremely fair with money. She under charged for hours and you could tell she genuinely cared. Anyone that hires Lisa knows exactly what I’m talking about and I am so thankful she represented me.

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 intellect. If you want someone on your side, look no further.

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 attorneys involved to develop a rock solid argument that in my opinion is what caused us to come out on the winning end of this. Over the course of our engagement, she was communicative, professional and empathetic. I can't say enough about her!

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 a sense of ease, calm, confidence, and humor to every conversation. Lisa is extremely knowledgeable at what she does and approaches each situation with a combination of careful consideration and creativity. She works hard to ensure she's covering every angle and turning over every leaf. She's fair, honest, transparent, and the best person you want in your corner when facing a potential SEC investigation. The fact of the matter is, getting an SEC attorney is not something anyone ever wants to have to do, but if you find yourself in a pickle and need someone to help you understand your options and to navigate your situation, Lisa is the best person for it.

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 enough to find Lisa's website and was able to have a phone consultation the same day. Lisa has a strong understanding of the financial markets and I was able to quickly explain to her the specifics of my situation. She expertly guided me through the process of preparing a detailed response to the SEC. I was able to prove my case to the SEC and the matter was resolved. Throughout the entire process, Lisa was highly professional, quick to return calls/emails, and also very cost efficient with her work.

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 savvy understanding of the law, regulatory procedures, and nuances of my situation. She delicately and accurately brought forth the facts that properly represented me, and consistently went the extra mile until all parties were satisfied.

Lisa is a strong and tireless advocate. She helped guide me through a complicated investor disclosure issue on a publicly-traded security. Her practical counsel on process--and avoiding unnecessary legal action--was invaluable. It is rare to find a good lawyer who you can trust as a "Counselor"; Lisa has earned that distinction for me.