Alise Johnson

Alise Johnson is a principal in the firm’s Financial Institutions Practice Group. She represents financial services firms, financial advisors and corporations in litigation, arbitration, investigations, and regulatory matters before FINRA, the SEC, federal courts and other state and local regulatory organizations.

With over 30 years of experience working both in-house at an international broker-dealer and at the U.S. Securities and Exchange Commission, Alise applies her in-depth knowledge of the securities industry and business to provide clients with effective legal strategies and practical results.

Before joining Bressler, Alise worked both in private practice at a national firm and as a Senior Trial Counsel for the United States Securities and Exchange Commission (the “SEC”). There she was responsible for the investigation, litigation, negotiation, and trial of securities actions on behalf of the Commission. Alise served as first-chair in federal court actions involving fraudulent securities offerings, registration violations, municipal bond offerings, and insider trading. Alise has also worked extensively with Receivers, both at the SEC and representing receivers as their counsel in private practice.

Alise’s experience includes serving in-house at UBS Financial Services as Associate General Counsel where she held various roles in legal and compliance. Among those positions, Alise was Regional Counsel for the Southern Atlantic Region, Puerto Rico and the Virgin Islands, providing advice to the senior executives responsible for directing the branch offices in those regions.  

A frequent speaker and lecturer, Alise enjoys using humor and business sensibility to explain complex subjects.  Alise earned her J.D. with Honors from the University of Florida, where she was an editor of the Florida Law Review, and her B.A. with Honors from Vanderbilt University.

Experience

Notable Matters:

• Successfully won jury trial in federal court finding foreign day-trading firm failed to register in violation of securities law requirements where Court awarded $15 million in monetary relief
• Successfully won jury trial in federal court finding financial advisor selling investments in merchant cash advance company violated federal securities laws
• Successfully defended brokerage firm and financial advisors in FINRA arbitration alleging sales practice violation in the sales of variable annuities
• Successfully defended brokerage firm and financial advisors in multiple FINRA arbitration alleging sales practice violations
• Successfully received expungements for financial advisors of claims from their Central Registration Depository records
• Successfully obtained preliminary injunction against Viatical Company in a fraud action, where, on appeal, the 11^th Circuit issued the first federal appellate decision finding Viatical settlements are securities under the Securities Act of 1933
• Successful defended a national restaurant chain against employment claims alleging discrimination

Reported Decisions:

• SEC v. Armijo, 2023 U.S. Dist. LEXIS 40197 (S.D. Cal., March 8, 2023)
• SEC v. Movie Studio, Inc., 2023 U.S. Dist. LEXIS 214959 (S.D. Fla., Dec. 4, 2023)
• SEC v. Harbor City Cap. Corp., 2021 U.S. Dist. LEXIS 139132 (M.D. Fl., May 19, 2021)
• SEC v. Davison, 2020 U.S. Dist. LEXIS 257691 (M.D. Fla., Dec. 3, 2020)
• SEC v. Spartan Sec. Grp. Ltd., 620 F. Supp. 3d 1207 (M.D. Fla. 2022)
• SEC v Complete Bus. Sols. Grp., 2022 U.S. Dist. LEXIS 195067 (S.D. Fla., Oct. 24, 2022)
• SEC v. Mintbroker Int’l Ltd., 2022 U.S. Dist. LEXIS (S.D. Fla., Jan. 11, 2022)
• Berti v. UBS Financial Services., 2012 U.S. Dist. LEXIS 156865 (M.D. Fla., Nov. 1, 2012)
• SEC v. Roanoke Tech. Corp., 2006 U.S. Dist. LEXIS 59835 (M.D. Fla., Aug. 24, 2006)
• SEC v. Mutual Benefits Corp., 323 F. Supp.2d 1337 (S.D. Fla. 2004)
• Edwards v. Acadia Realty Trust, Inc., 141 F.Supp.2d 1340 (M.D. Fla. 2001)

Speaking Engagements & Events

Professional Affiliations

• Southeastern Women in Financial Services (SWIFS), Board Co-Chair
• Federal Bar Member, South Florida
• National Association of Federal Equity Receivers

Civic Involvement

• SEED School of Miami Public Charter School, Board Member
• Junior League of Miami (Advisor and former Board Member)
• University of Miami School of Law, Guest Lecturer

Awards & Honors

• SEC Chair’s Award for Excellence (2024)
• SEC Chair’s Award for Investor Protection (2023)
• SEC’s Director Award (2020)
• SWIFS Member of the Year (2021)
• AV Preeminent Rating by Martindale Hubble AV
• Points of Light Volunteer Service Award, President of the United States (2006, 2007)

Get to Know Alise

Alise is a mother of twin teenagers, an avid reader of history and mysteries, and a travel enthusiast. Alise serves on the Board of SEED School Miami (Florida’s only public college preparatory boarding school for underserved students), and volunteers for several charitable organizations including Junior League of Miami, PACE Center for Girls, and Educate Tomorrow.