Celiza Patricia Braganca

Lisa is an amazing lawyer who truly respects her clients. When I first went to her, she answered all my questions with so much patience and made sure I understood everything I needed to know. Legal issues can take years and cause a lot of stress, but Lisa helped me stay positive and focused on my lif...e. Anytime there was an update on my case, she let me know right away and helped me figure out my next steps. I highly recommend Lisa because she not only solves problems but also genuinely cares about her clients' best interests.

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.

I was dragged into an SEC issue due to my interaction with a client that I had. Even though I was simply a software vendor and consultant I was required to give discovery. I had extensive documentation and was concerned that I would somehow be lumped into this case. Lisa did a phenomenal job gui...ding me through the process from start to finish. She was professional, always available and really laid out the realities and risks while also guiding me through how to properly communicate and share with the SEC. I have never been through anything like this, nor want to again. But Lisa made the process much easier to navigate. She did all the communication with the SEC. She recommended a proffer which was a great route to go. And was with me when we did the virtual proffer. Her past experience working with the SEC was invaluable because she had insight from both perspectives. If you find yourself in a similar situation as me I would recommend you reach out to Lisa. She really knows how this process works and will give you sound guidance.

When I received a subpoena from the Secretary of State informing me that I was under investigation from the Securities Department, my original plan was to call a few attorneys to discuss my case and decide who would be in the best position to assist me. Lisa’s name was on the top of search list and a...fter my first call with her, there was no need for me to continue the search. She explained the rules of the investigation very clearly and laid a plan on how to respond to the subpoena. She was very meticulous throughout the process and communicated directly with the State attorney handling my case all the while keeping me informed of all the steps taken. Her timely actions resulted in my case being dismissed after a very short period.

I received a summons from the SEC to appear as a witness. I had no idea what this would entail and how it would turn my life upside down. Lisa was extremely kind and patient. She explained everything that was going to happen and coached me how to respond. As a result, my situation was positively reso...lved. I feel blessed and very fortunate I had Lisa on my side.