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Trident Partners Fires Joel Felsenfeld

Jun 7, 2022 Unauthorized Trading

Joel Felsenfeld (CRD #: 866393), a former broker, was fired from his previous firm, according to his BrokerCheck record, accessed on May 30, 2022. Read on if you have questions about his conduct as a broker.

Discharge from Trident Partners

On February 16, 2022, Joel Felsenfeld was fired from Trident Partners after allegedly engaging in an unauthorized transaction.

FINRA Rules 3260 and 2010

Unauthorized trading violates FINRA Rule 3260, which restricts brokers from exercising their trading discretion outside of pre-approved discretionary accounts. Discretionary accounts must be approved both by the customer and the firm. 

Unauthorized trading also violates FINRA Rule 2010, which requires brokers to uphold high standards of commercial honor. 

Background Information

Joel Felsenfeld has passed the following exams:

  • Series 63 - Uniform Securities Agent State Law Examination
  • SIE - Securities Industry Essentials Examination
  • Series 7 - General Securities Representative Examination

He has also worked for the following firms:

  • Trident Partners (CRD#:41258)
  • National Securities (CRD#:7569)
  • Prime Capital Services (CRD#:18334)
  • Schneider Securities (CRD#:16434)
  • Vantage Securities (CRD#:19611)
  • Robert Thomas Securities (CRD#:10147)
  • G. K. Scott & Company (CRD#:3305)
  • Hibbard Brown & Company (CRD#:18246)
  • Brooks Weinger Robbins & Leeds (CRD#:14156)
  • Brodis Securities (CRD#:1135)
  • Moseley, Hallgarten, Estabrook & Weeden (CRD#:7908)
  • Ross, Stebbins (CRD#:6381)
  • Old Court Securities (CRD#:2947)

Kurta Law Can Help

If you worked with Joel Felsenfeld 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 and 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.