Samuel Frankfort Suspended by FINRA

Samuel Frankfort (CRD #: 2773755), a broker formerly registered with Rockefeller Financial, has been suspended by FINRA, according to his BrokerCheck record, accessed on August 17, 2025. Keep reading to learn more about his alleged conduct as a broker.

FINRA Suspension

On July 8, 2025, Samuel Frankfort received a Letter of Suspension alleging that he failed to comply with an arbitration award or adequately respond to a FINRA request for information about the status of his compliance.

These allegations were made in relation to a dispute filed against Samuel Frankfort alleging that he refused to pay the outstanding principal and accrued interest on two promissory notes he entered into with Rockefeller Financial LLC and RFS Opco LLC.

An arbitration award made Samuel Frankfort liable for compensatory damages of $1,966,923.60, as well as interest at the rate of 5.75% on the principal balance of $1,881,557.59. You can access the award here.

Samuel Frankfort’s suspension will continue until the required payment is made or discharged.

Article VI, Section 3 of FINRA By-Laws

Article VI, Section 3 of FINRA By-Laws allows FINRA to suspend or cancel the membership of any member who fails to comply with arbitration awards or settlement agreements.

FINRA Rule 9554

FINRA Rule 9554 penalizes brokers for failing to comply with arbitration awards or settlements by suspending or canceling their registration. Brokers can request a hearing within 21 days, after which their suspension or cancellation becomes final.

Investor Dispute

On July 2, 2025, multiple investors named Samuel Frankfort in allegations concerning complex investment products. They seek $500,000 in damages in this pending dispute.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Samuel Frankfort has passed the following exams:

• Securities Industry Essentials Examination – SIE
• National Commodity Futures Examination – Series 3
• General Securities Representative Examination – Series 7
• Uniform Combined State Law Examination – Series 66
• Uniform Investment Adviser Law Examination – Series 65
• Uniform Securities Agent State Law Examination – Series 63

He previously worked for the following firms:

• Rockefeller Financial (CRD#:291361)
• Raymond James & Associates (CRD#:705)
• Deutsche Bank Securities (CRD#:2525)
• Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691)
• Goldman, Sachs & Company (CRD#:361)
• Morgan Stanley & Company (CRD#:8209)
• Hornor, Townsend & Kent (CRD#:4031) 

Kurta Law Can Help

If you worked with Samuel Frankfort and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.