Articles Posted in FINRA

Does Receiving a Rule 8210 Letter Mean You are Under Investigation for FINRA Violations?
Bragança Law LLC

The Financial Industry Regulatory Authority (FINRA) is a private, self-regulatory organization that regulates member brokerage firms and exchange markets. Just because you receive a Rule 8210 letter does not mean FINRA will charge you with violation of its rules or violation of securities laws. Nevertheless, the way you respond to a Rule 8210 letter can…

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What Laws Govern the Securities Industry?
Bragança Law LLC

We aggressively protect our client’s rights, whether they’re businesses, investors, financial professionals, or whistleblowers. The tools of our trade are federal and state laws that regulate the securities industry and protect those who may be abused by it. Other laws or legal doctrines may also apply to participants in the securities industry. They include state…

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How Unfair is FINRA Arbitration?
Bragança Law LLC

This January 25, 2022 Court decision shows how corrupt FINRA’s dispute resolution process is. We don’t see this kind of a decision often because FINRA arbitrations are conducted behind closed doors, by arbitrators selected through an opaque process, by arbitrators who have virtually unfettered authority to determine the law and facts to apply, and with…

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Thank Goodness for Lisa Braganca...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...

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Amazing experience!!! Hello I hired Lisa because my previous company I was working with put me in a very bad position and was looking at getting banned from selling securities and possibly much worse. Lisa took...

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When you are faced with the SEC looking at you for possible violations it can be one of the most unpleasant experiences. Working with Lisa Braganca made our situation 1000x easier. She worked with other...

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I cannot recommend Celiza (Lisa) Braganca enough for the tireless work she's done for me, my partner, and our business. Facing potential SEC questioning is incredibly overwhelming and daunting, but Lisa brings...

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I had the unpleasant experience of receiving a call from the SEC informing me that I was the target of an investigation. Having never dealt this with before, I was unsure of how to proceed. I was fortunate...

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Our firm came under an SEC investigation for a $12m+ crypto offering. Despite some muddy waters, and internal shareholder concerns, Ms. Braganca kept me clear of the SEC enforcement actions on account of her...

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