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SEC charges Scott Allen Fries, a former Ohio-based registered representative and investment adviser representative at Transamerica Financial Advisors, an SEC-registered broker-dealer and investment adviser, with defrauding at least seven investors out of… https://bit.ly/35QLHav
SEC files settled action against investment adviser/broker-dealer for failure to supervise retail retirement and nonretirement customer accounts to detect excessive trading and excessive commission charges.
According to the SEC, from 2017 through… https://bit.ly/2RI2NiA
Lisa Bragança Has Been Featured In…
SEC Defense Attorney – Representing Individuals and Businesses Nationwide
For years, Lisa Bragança worked as a SEC Enforcement Branch Chief, where she led investigations into securities fraud, insider trading, market manipulation, and other trading practices. Now, she aggressively fights to protect the rights of businesses, financial professionals, investors, and whistleblowers.
Lisa has represented financial professionals, directors, officers, employees, and other professionals in regulatory investigations, shareholder class actions, and bankruptcy adversary proceedings. She understands the impact that these legal matters have on her clients, which is why she strives to reach the best possible outcome in every case.
Our Services
Lisa has also represented investors across the country whose losses were the result of broker fraud, breach of fiduciary duty, negligence, and other misconduct. She has recovered millions of dollars in investor losses.
As a former SEC Enforcement Branch Chief, Lisa has the ability to take on the most complex regulatory investigations.
She is proud to represent investors, financial professionals and entities, and whistleblowers in a wide range of practice areas.
SEC Investigations & Litigation
Cryptocurrency/Digital Coin Investigations & Litigation
Recovery of Investment Losses
State Regulatory Investigations & Litigation
Investigations of Insider Trading
Business Disputes
FINRA Investigations & Litigation
Whistleblower ProtectionSEC Investigations & LitigationCryptocurrency/Digital Coin Investigations & LitigationRecovery of Investment LossesState Regulatory Investigations & LitigationInvestigations of Insider TradingBusiness Disputes
Elder Financial ExploitationFINRA Investigations & LitigationWhistleblower Protection
When Do Financial Professionals Need Their Own Attorney?
If you are involved in a securities investigation, it’s in your best interest to have an experienced securities attorney representing you. An unfavorable outcome in a regulatory investigation could completely end your career in the financial industry. But, this isn’t the only penalty you could face. Financial professionals may also be ordered to pay significant fines for their alleged misconduct.
Your future is at stake in a regulatory investigation. Lisa is an experienced securities attorney who has saved the careers of senior executives and financial professionals involved in regulatory investigations. She understands how critical this dispute is in your career and your life. She will work tirelessly to get the best possible result for you.
How Do SEC Investigations Work?
The Enforcement Division of the U.S. Securities and Exchange Commission (SEC) investigates allegations of securities law violations such as stock manipulation, theft, fraud, misrepresentation, insider trading, and selling unregistered securities.
The SEC may obtain evidence from witnesses through interviews or on-the-record testimony obtained via subpoena. An experienced securities attorney can work with the SEC to ensure the SEC gets what it wants in the least burdensome manner possible.
Based on the evidence the Commission may decide to file an administrative action or file a federal court case.
Case Results
Regulatory Defense
Obtained complete reversal of administrative agency sanction against a physician on grounds of abuse of discretion Ill. Dept. of Prof. Reg v. Gandhi (Cir. Ct. DuPage County)
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Investment Losses
Obtained favorable settlement for a family who obtained premium financing to purchase multiple life insurance policies with the expectation of selling them on the secondary market. (Cir. Ct. Will County)
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Insurance Coverage
Obtained federal court jury verdict awarding covered losses of $4.2 million-plus $10 million in punitive damages for bad faith denial of insurance claims. Case Corp. v. Aetna Ins. Co. (D.C. Wis.)
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How Can You Recover Losses from Investment Fraud?
An experienced investment fraud lawyer can make a big difference in recovering investment losses. An experienced investment fraud lawyer can determine whether you have options about where to file your claims and how to best present your claims whether they are in FINRA arbitration or in court. Having a dispute resolved in arbitration can be less expensive and faster than having it resolved in court.
But, there is much less information exchanged before the hearings start and there are almost never any depositions. An experienced investment fraud lawyer can help you decide whether to participate in a class action or whether you can obtain a better result by “opting out” of the class.
How Can An Attorney Protect Whistleblowers?
Reporting illegal conduct you observe at work can be risky. Sometimes people who do that – whistleblowers – are fired, demoted, or otherwise retaliated against. That is why there are many laws that protect whistleblowers from retaliation and that encourage whistleblowers to come forward by paying awards or bounties based on the amount recovered from the wrongdoer.
So don’t let fear of retaliation stop you from doing the right thing. In many cases, you can provide a “tip” to the government anonymously. Talk to a lawyer who understands how to protect whistleblowers from retaliation before you blow the whistle. If you have already reported and are experiencing retaliation, an experienced whistleblower attorney can help you.
Client Testimonials
Schedule A Free Consultation With Bragança Law Today
Are you involved in an SEC/FINRA investigation? Are you an investor who needs help recovering their losses? If so, seek legal representation from Lisa Bragança at Bragança Law as soon as possible. The outcome of your case could affect the rest of your life, which is why Lisa will work tirelessly to get the best possible results for you.
Lisa Bragança is proud to work with clients nationwide while also serving clients through the Chicago suburbs and in the local Downtown Chicago area approximately 10 miles from the Chicago Midway International Airport (MDW) and approximately 26 miles from the O’Hare International Airport (ORD). To schedule a free consultation, call Bragança Law at 847-906-3460 or submit your information using the contact form on this website.
