“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 J. Cuccio focus is in representing financial services firms because he understands what they need. He has nearly three decades of experience in the financial services industry, including more than a decade of in-house experience with various securities firms. Frank’s in-house experience includes being the General Counsel for two securities trading firms, working in a major financial institution’s legal department, servicing clients as a registered representative, and supervising several teams of people in brokerage operations. That background uniquely qualifies him to fully understand the issues from many perspectives.
Financial services firms and their employees seek out Frank to represent them before the SEC, FINRA and other state regulatory agencies, as well as in state and federal court. They rely on his experience in litigation, arbitration and mediation but beyond that, for his insightful advice on business development, risk management and contractual issues. He helps his clients resolve problems as favorably and cost effectively as possible so that they can get back to running their businesses.
What brings additional depth and credibility to Frank’s practice is his active participation within the securities industry. He is a member of the National Society of Compliance Professionals and frequently speaks at their events. He is also on the faculty of the Practicing Law Institute, a member of the SIFMA Compliance and Legal Society, and a member of the ABA Litigation Section.
Frank also has a tremendous sense of community and volunteerism. He is currently a member of his local board of education, where he chairs its finance and facilities committee. He also has membership on three boards governing his town’s Little League, Babe Ruth League and Travel League baseball programs.
Frank successfully represented a client before FINRA and a state regulatory authority on issues involving supervision practices, and assisted that client in improving its supervision system.
Frank served as a key member of a team of lawyers that helped a major financial institution work through hundreds of arbitrations involving complex investment products.
Frank recently represented a client in a FINRA arbitration that lasted nearly three years and culminated in a seven figure award in favor of his client against an independent registered investment advisor.
News & Publications
- 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
- 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
- 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
- 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