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 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.