Lisa Braganca

  Recovering Investment Losses

    Protecting Whistleblowers

      Defending Financial Professionals

Chicago, Illinois – (847) 906-3460

Photo of Lisa BragancaLisa Bragança helps investors recover losses, represents financial advisors and other investment professionals in SEC, state, and FINRA regulatory investigations, and protects whistleblowers.

Lisa served as a Branch Chief in the Division of Enforcement of the Chicago Office of the Securities & Exchange Commission, where she handled investigations of accounting fraud, Ponzi schemes, insider trading, churning, and unsuitable investments. Since leaving the SEC, Lisa has helped recover millions of dollars in investment losses in FINRA arbitrations and court cases.

While at the SEC, Lisa collaborated with the DOJ in investigating $2 billion in losses arising out of subprime auto lender Mercury Finance Company’s cooking the books. As a result, three senior executives, including the Chairman/CEO, were sentenced to prison terms. Lisa also supervised a investigation of the Foreign Corrupt Practices Act violations arising out of bribery of Haitian customers officials in collaboration with DOJ. As a result, the CEO and another senior executive were convicted and sentenced to substantial prison time. Since leaving the SEC, Lisa has successfully represented numerous individuals and entities in SEC investigations.

While at Jenner & Block, Lisa represented Case Corporation in a Milwaukee federal court insurance coverage trial in which the jury awarded the entire $4.2 million sought for breach of contract, plus attorney’s fees and $10 million in punitive damages for bad faith – the largest bad faith punitive damages award in Wisconsin at the time. 

Lisa has been an advocate for the rights of people with physical, cognitive, and psychiatric disabilities, serving as counsel in three statewide class actions seeking to compel the State of Illinois to comply with the Americans with Disabilities Act. Before law school, Lisa was a consultant with the division of Arthur Andersen & Company that is now Accenture.

B.A. (with honors) and J.D. / M.B.A. (Order of the Coif, honors) from the University of Chicago.

Lisa teaches and speaks about elder financial exploitation, securities regulation, recovering investment losses, and cryptocurrency / ICO regulation including

  • Organizer and participant in Concordia University elder financial abuse program  https://gradschool.cuchicago.edu/the-centers/financial-stewardship-and-older-adults–choices-options-and-best-practices/
  • Guest lecturer on FINRA arbitration hearings for St. John’s Law School Securities Arbitration Clinic
  • Faculty for CBA program, Truth Without Proof – getting blockchain transactions into evidence and co-author of article on same topic
  • “Cryptocurrencies and Tokens: What are they and who regulates them” co-author PIABA Bar Journal, Vol. 25, No. 1 (2018), available here: Braganca and Straney, Cryptocurrencies and Tokens, PIABA B.J., Vol 25, No 1 (2018)
  • Speaker and moderator at Public Investor Arbitration Bar Association and Chicago Bar Association meetings and programs on cryptocurrency and token regulation, investor protection, FINRA arbitration, and behavioral finance
  • National Association of Elder Law Attorneys (NAELA) training on elder abuse by financial advisors
  • Instructor for Chicago Bar Foundation / NITA trial advocacy and deposition skills programs
  • Lisa serves as Chair of the Chicago Bar Association Securities Law Committee and is a member of the Women’s White Collar Defense Association (WWCDA), the Public Investors Arbitration Bar Association (PIABA), the CBA Financial and Emerging Technology Committee, and the Trial Bar of the U.S. District Court for the Northern District of Illinois. 

You can reach Lisa at (847) 906-3460 or Lisa@SECDefenseAttorney.com