Celiza Patricia Braganca

I had the privilege of working with Celiza Patricia Bragança during an SEC investigation. I can say without hesitation that she is one of the most capable, principled, and responsive attorneys I have ever worked with. From the outset, Celiza brought a level of clarity, composure, and strategic in...sight that made a complex and high-stakes situation far more manageable. She was uncompromising in her commitment to doing things the right way, and that ethic deeply impacted how I now approach my responsibilities as an investment manager. Her guidance made me a better investor from an operational due diligence standpoint—full stop. Celiza was consistently available, responsive to every email and call, and unflinchingly professional in every interaction. Even when we had to navigate tough conversations with potentially serious outcomes, she always ended our discussions with a note of encouragement and grounded perspective that helped keep things steady. That blend of legal rigor and personal steadiness is rare and invaluable. I highly recommend Celiza to anyone needing regulatory counsel or representation—especially in high-pressure or high-compliance situations. You want someone who is brilliant, fiercely ethical, and emotionally intelligent at the table with you. That’s Celiza.

Lisa was incredibly helpful in assisting me with responding to a FINRA 8210 letter, ultimately helping me achieve a cautionary letter result. From the very beginning, she was caring, responsive, and generous with her time, offering an initial consultation that lasted over an hour. Throughout the proc...ess, she worked diligently to review my draft, provided clear communication about potential consequences, and ensured I was well-prepared. I truly appreciate her dedication and would highly recommend her to anyone facing similar issues.

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 lega...l services that secured an extremely positive outcome for me and my private wealth advisory practice and 30 year professional career.

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.