“The securities regulatory environment changes on almost a daily basis. We help our clients develop strategies to navigate through these changes so they may conduct their business profitably and in compliance with the rules.”
Frank represents many types of clients from large institutions to individuals in the financial services industry. His background uniquely qualifies him to fully understand issues that arise in the financial services industry from many perspectives. Frank started in financial services in 1986 and has more than a decade of in-house experience with several nationally recognized brokerage firms. He was a registered representative, supervised teams in brokerage operations, and has been General Counsel for two trading firms. He has litigated numerous matters, negotiated business and employment contracts, and has dealt with many forms of transactional and operational issues including those that arise between correspondents and clearing firms.
Frank represents clients in federal and state courts as well as before the Securities and Exchange Commission, FINRA and other self-regulatory organizations in financial services. They rely on his experience to successfully navigate through litigation, arbitration and mediation. Equally as important, clients rely on Frank’s advice on business development, compliance, risk management and contractual issues. Frank’s mission is to help clients solve problems as favorably and cost-effectively as possible so the clients can get back to running their businesses.
Frank is an active member in the legal community. He is currently the First Vice Chair of NJSBA Securities Committee. He is on the faculty of the Practicing Law Institute, and is a member of the SIFMA Compliance and Legal Society, the Securities Sub-committee of the American Bar Association’s Litigation Section, the National Society of Compliance Professionals and the New Jersey Defense Association.
Frank is currently on Bressler’s Executive Committee and Hiring Committee, and he chairs its Principal Tracking Committee.
Frank also is devoted to giving back to his community. He served for 12 years on his town’s school board as Chair of its finance committee. He was also vice president and president at various times in the town’s youth baseball programs and has coached youth soccer, basketball and baseball.
He represents an international brokerage firm in a series of arbitrations and regulatory investigations involving fixed income securities.
He is a key member of a multi-firm team of attorneys who represents major financial institutions in hundreds of arbitrations involving complex investment products.
He won directed verdicts dismissing claims against a correspondent clearing firm.
He represented several clients before FINRA and state regulatory authorities on issues involving sales practices and supervision, and assisted those clients in improving their supervisory policies.
He received a multi-million dollar arbitration award in favor of his brokerage firm client against a registered investment advisor.
- May 16, 2013Bressler Partners with UBS to Volunteer at the Neighborhood Entrepreneur Law Project's Legal Clinic
Stefanie Wayco, Tracey Salmon-Smith, David Hantman, Angela Turiano, Frank Cuccio and Jon Kaplon partnered with UBS to volunteer at the Neighborhood Entrepreneur Law … Read more
- November 7, 2017Bressler Partners with NJSBA to Host Discussion About Enforcement Priorities and Dealing With An Aging Investor Base
Bressler, Amery & Ross has partnered with the New Jersey State Bar Association Securities Law Special Committee to host a meeting where New Jersey regulators will sp… Read more
- May 17, 2017NJSBA 2017 Annual Meeting and Convention
Bressler Principals Frank Cuccio, Diana Manning and Frederick Schoenbrodt II will present at NJSBA 2017 Annual Meeting and Convention on May 17-19, 2017 at the Borga… Read more
- April 18, 2017How to Arbitrate a Securities Case - A Practical Program
Frank Cuccio will be speaking at the New Jersey State Bar Association seminar "How to Arbitrate a Securities Case - A Practical Program." The program will take plac… Read more
- June 4, 2013NSCP East Regional Meeting
Frank Cuccio and Brian Ellis will be speaking at the NSCP East Regional Meeting in New York on Tuesday, June 4th from 10:45 am - 12:15 pm. They will be covering the … Read more
- March 5, 2013NSCP 2013 New England Regional Meeting, Lab Session: Advertising/Marketing/Social Media
On March 5, 2013, Frank Cuccio, a member of the firm's Securities Law practice group, will be a panelist at the NSCP 2013 New England Regional Meeting. The top… Read more
- May 8, 2012NSCP East Coast Regional Meeting
Frank Cuccio will present a Lab Session entitled Gifts, Entertainment, Political Contributions, Charitable Contributions, Cash, Non-Cash, Lobbyist Requirements and t… Read more
- December 1, 2015The New Jersey Bureau of Securities - An Overview
The New Jersey Bureau of Securities enforces New Jersey's securities laws and regulations. Its overarching mission is to protect investors from securities fraud. The… Read more
- April 2, 2013Social Media: Failure To Preserve Equals Sanctions And A Challenge For Employers. Individuals who think that their personal social media postings have no bearing on their work lives, or that informati
Commercial Litigation Alert… Read more