Former SEC Branch Chief
representing businesses
and individuals


Recovering investment losses
Protecting whistleblowers
Defending financial professionals

Your Advocate

As an SEC Enforcement Branch Chief, Lisa Braganca conducted and supervised investigations of trading practices, fraudulent offerings, insider trading, churning, financial/accounting fraud, unsuitability, and Foreign Corrupt Practices Act violations. She has recovered millions of dollars in investor losses and insured losses for individuals and businesses. She has saved the careers of financial and other professionals involved in regulatory investigations.

 

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As an investor and fiduciary, I have worked with Lisa in several capacities over the last 15 years. Lisa’s diverse background from her tenure as an attorney for the SEC, and in private practice – working on both sides of the aisle – make her one of the most thorough, realistic and expedient lawyers in the Chicagoland area. As a lawyer who fully understands the encompassing legal process, Lisa’s business acumen allows her to deftly navigate each situation that is truly in the best interest of her clients – not the clock.

Jason M.

Celiza was a great help to me in the course of working to resolve my problem. She was very patient, explaining in detail what was happening and what would follow, doing it in a very professional and friendly manner. Working with her helped me through a very difficult situation.

Barbara M.

Lisa Braganca helped me through a very toxic employment transition that was one of the most uncomfortable experiences of my entire life. In the interest of ‘maintaining confidentiality’ through the settlement and legalese my former employer was asking me to sign, having Lisa at my side allowed me to sleep at night. As a single mom with a busy career, I strongly recommend contacting Lisa when believe the odds are clearly stacked against you. She is a lifesaver.

Anonymous
Representing investors, whistleblowers, and financial professionals

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Lisa has represented financial and investment professionals, officers, directors, and employees of private and public companies, and other professionals in regulatory investigations. As an Enforcement Attorney and Branch Chief with the U.S. Securities and Exchange Commission, Lisa investigated broker misconduct, corporate officer/employee misconduct, auditor misconduct, and illegal trading activity. Those investigations led to civil and criminal cases being brought against numerous companies and entities including:
  • Officers and employees of subprime auto lender who engaged in accounting fraud and insider trading
  • Officers and employees of public company who violated the Foreign Corrupt Practices Act by bribing foreign customs officials
  • Promoter of fraudulent offering of so-called prime bank instruments
  • Officers of broker-dealers who manipulated market for small capitalization (over-the-counter) stock
  • Traders who manipulated options markets through spoofing or small lot orders
In private practice, Lisa has represented financial professionals, directors, officers, and employees, and other professionals in regulatory investigations, shareholder class actions, and bankruptcy adversary proceedings.

Recovery of Investment Losses and Obtaining Insurance Coverage

Lisa has recovered millions of dollars in investor losses through arbitration and court actions. Lisa has represented investors across the country whose losses were the result of broker fraud, breach of fiduciary duty, negligence, and other misconduct.
 
Lisa has obtained insurance coverage for directors, officers, and corporations for covered losses and defense costs under director/officer policies, comprehensive general liability policies, and excess insurance policies.

Whistleblower Claims and Representation

Lisa’s experience as an SEC Enforcement Branch Chief enables her to successfully represent whistleblowers in reporting wrongdoing to government agencies and in dealing with employment issues, including negotiating separation agreements.

Fierce advocacy for over 25 years