Samuel Frankfort Facing Rockefeller Financial LLC Client Arbitration Claim Re: Unsuitable Advice

Investors have reportedly disputed the sales practices of securities broker Samuel David Frankfort [CRD: 2773755, Houston, Texas], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Frankfort worked for Rockefeller Financial LLC from May 22, 2020, to February 15, 2024, and for Raymond James & Associates Inc. from September 6, 2016, to May 27, 2020. Read on to discover more about the disclosures involving Frankfort and the allegations made against him.

Understanding Allegations Of Unsuitable Recommendations In DPPs And LPs

Allegations of unsuitable recommendations generally mean that a broker or investment adviser advised a client to invest in products that did not match the client’s financial goals, experience, or risk tolerance. In cases involving direct participation programs (DPPs) or limited partnership (LP) interests, such investments can be especially risky because they are often illiquid and complex. When brokers recommend these products without adequately assessing a client’s financial situation, investors can face significant losses that might have been avoidable with more suitable investment choices.

Rockefeller Financial LLC Investor Accused Samuel Frankfort Of Sales Practice Violations

Notably, on July 2, 2025, a Rockefeller Financial LLC client filed FINRA Arbitration No. 25-01360 about Samuel Frankfort. The client alleged that Frankfort made recommendations of certain direct investments (commonly referred to as DPPs and LP interests). Because of this, the client allegedly sustained damages. As a result, they requested $500,000 in compensation from Rockefeller Financial LLC or Frankfort. It appears that this arbitration is pending a resolution.

Did You Sustain Losses Due To Financial Advisor / Securities Broker Frankfort?

Do you have concerns or questions regarding investments you made with Samuel Frankfort? You can get in touch with Soreide Law Group at (888) 760-6552 or online and talk with a securities attorney concerning a potential recovery of your investment losses. For years, Soreide Law Group has recovered losses for investors throughout the country. Also, the firm works on a contingency fee basis and advances all costs. Frankfort and brokerage firms Frankfort worked for deny allegations of sales practice violations.