Last Updated: September 2025 – Houston, TX
Here’s what you need to know about Houston, TX, stockbroker Samuel Frankfort:
- Name: Samuel David Frankfort
- Current Registration Status: Suspended indefinitely by FINRA
- Most Recent Employer: Corient — Partner, Wealth Advisor (Houston, TX); also listed as employee of Corient Services LLC (Miami, FL)
- Prior Firms: Rockefeller Financial LLC (05/2020–02/2024); Raymond James & Associates, Inc. (09/2016–05/2020); Deutsche Bank Securities Inc. (08/2011–09/2016); Merrill Lynch, Pierce, Fenner & Smith Inc. (11/2008–08/2011); Goldman, Sachs & Co. (09/2005–12/2008); Morgan Stanley & Co., Incorporated (05/2002–09/2005 and 09/1998–07/2000); Hornor, Townsend & Kent, Inc. (07/1998–08/1998)
- CRD number: 2773755
- Stockbroker / Financial Advisor: Suspended by FINRA
- Can Broker be Sued in FINRA: Yes
- Sanctioned by Securities Regulators: Yes
- Current Customer Dispute Seeks Total Damages of: $500,000-$1,000,000
If you’ve sustained damages from Mr. Frankfort, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Samuel D. Frankfort As Your Stockbroker?
A pending FINRA arbitration filed July 2025 (FINRA Case No. 25-01360) alleges damages “in connection with certain complex products,” specifically Direct Investments—DPP & LP Interests, related to Mr. Frankfort’s time at Rockefeller Financial. The claim seeks damages of between $500,000-$1,000,000. The matter is currently pending.
Frankfort Ordered to Pay Former Employer Rockefeller $1.9 Million
Frankfort’s prior employer Rockefeller Financial brought an arbitration action against him for failure to repay loans made to him by the firm in connection with his employment. In 4/2025 the firm prevailed and Frankfort was ordered to pay the firm over $1.9 million.
Apparently Frankfort failed to comply with the FINRA award and FINRA suspended Mr. Frankfort effective July 8, 2025 in a Rule 9554 proceeding (Dkt. No. 24-01291) for failure to comply with an arbitration award or settlement agreement or to satisfactorily respond regarding compliance status. The suspension is indefinite and applies to all capacities.
Allegations of Broker Misconduct Against Samuel D. Frankfort
- Unsuitability
- Failure to act in the customer’s best interest — recommendations to retail customers must meet SEC Regulation Best Interest (Reg BI, Rule 15l-1) standards.
- Know-Your-Customer / reasonable diligence
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Samuel D. Frankfort, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.