Frank Cuccio
Frank Cuccio is a Principal in the Bressler’s Financial Institutions practice. He represents clients in federal and state courts, as well as before the Securities and Exchange Commission, AAA, FINRA, and other self-regulatory organizations. With more than a decade of in-house experience, Frank previously held positions as a registered representative, a brokerage operations supervisor, and was General Counsel for two securities trading firms. He advises clients on business, litigation, risk management, compliance, and regulatory matters. His securities industry clients include a variety of financial institutions, broker-dealers, registered investment advisors, clearing firms and individuals. Clients seek Frank’s help to successfully navigate through litigation, arbitration and regulatory investigations. They also rely on his advice on business development, compliance and risk management issues. He is a member of the New York, New Jersey and North Carolina state bar associations. Frank 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, and the National Society of Compliance Professionals.