Rockefeller Financial LLC broker Samuel Frankfort (CRD# 2773755) is accused of direct investment losses. He was registered with Rockefeller Financial LLC in Houston, Texas, from 2020 to 2024, Raymond James & Associates, Inc. in Houston, Texas, from 2016 to 2020, and Deutsche Bank Securities Inc. in Houston, Texas, from 2011 to 2016.
In July 2025, FINRA suspended him from July to October 2025, relating to his failure to “comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.”
Samuel Frankfort Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
July 2025. “Claimants allege damages in connection with certain complex products.” The customer is seeking $500,000 in damages, and the case is currently pending. The complaint was regarding direct investment losses, and it took place while he was registered with Rockefeller Financial LLC.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Rockefeller Financial LLC may be liable for investment or other losses suffered by Samuel Frankfort’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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