Frank J. Cuccio

Principal

  • Direct 973.660.4446
  • Fax 973.514.1660
Frank J. Cuccio
Frank J. Cuccio

“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.