Overview

Frank Cuccio is the Bressler’s Managing Principal and President.  Frank is responsible for developing and implementing the firm’s strategic business goals. More specifically, Frank is responsible for driving productivity, growing efficiency, expanding client-service strategies, and serving as a catalyst for change and innovation.

In addition to his leadership role, Frank maintains an active legal practice representing financial services clients as a Principal in Bressler’s Financial Institutions practice group. With more than a decade of in-house experience with several national brokerage firms, Frank held positions as a registered representative, former supervisor in brokerage operations, and as previous General Counsel for two securities trading firms.  Frank’s background gives him unique insight into fully understanding and advising on issues in the financial services industry. He has litigated numerous matters, negotiated business and employment contracts, and has dealt with many forms of transactional, operational and regulatory issues for broker-dealers, clearing firms and individual financial advisors.

Frank represents clients in federal and state courts, as well as before the Securities and Exchange Commission, FINRA and other self-regulatory organizations. Clients seek Frank’s help to successfully navigate through litigation, arbitration, alternative dispute resolution, and regulatory investigations. Equally as important, clients rely on Frank’s advice on business development, compliance and risk management issues. His mission is to help clients solve problems as favorably and cost-effectively as possible so they get back to running their businesses.

Frank is an active member of the legal community. He has been the First Vice-Chair of New Jersey State Bar Association’s 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 Subcommittee of the American Bar Association’s Litigation Section, the National Society of Compliance Professionals and the New Jersey Defense Association. 

In addition to his legal industry involvement and law firm leadership responsibilities, Frank is a leader in the community. He is devoted to giving back. He previously 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 football, soccer, basketball, and baseball. 

Experience

Experience

  • Frank was retained as the litigation counsel by 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 correspondent clearing firms.
  • 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 adviser.
  • He successfully represented an international brokerage firm before state securities commissions involving allegations of aiding and abetting a Ponzi scheme.
  • Frank received a dismissal of charges levied by FINRA against an individual financial advisor accused of inappropriate mutual funds sales.

News & Insights

Publications

Associations & Organizations

Professional Affiliations

  • New Jersey State Bar Association, Securities Law Committee, First Vice Chair
  • New Jersey Defense Association
  • New York State Bar Association
  • Securities Industry and Financial Markets Association (SIFMA), Compliance and Legal Society
  • National Society of Compliance Professionals
  • American Bar Association, Litigation Section

Get to Know Frank

Get to Know Frank

Frank  and his wife Gretchen have four children and reside in Oak Ridge, New Jersey.

Education

  • New York Law School, J.D., 1993
  • Ramapo College of New Jersey, B.S., Business Administration, 1985

Admissions

  • New Jersey
  • New York
  • Pennsylvania (Inactive)
  • U.S. District Court, District of New Jersey
  • U.S. District Court, Southern District of New York
  • U.S. Court of Appeals, Third Circuit
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