FINRA fined and suspended former AXA Advisors broker Micah Oliver Handell for impersonating a prospective customer on telephone calls with another firm to obtain information about the customer's retirement accounts at the other firm.
AWC #2018057757201 indicates that previously registered broker and investment adviser Micah Handell (CRD #5889420) impersonated a prospective customer who sought to transfer three retirement plans from another firm to AXA by telephoning the other firm by pretending to be 'Customer A' on that and a subsequent phone call.
According to the report, stockbroker Handell had called the firm to learn the names of all authorized signors on each of Customer A's retirement plans after an earlier phone call with the customer and the outside firm had failed to produce that information.
AXA Advisors terminated Handell from its Albuquerque, New Mexico branch in 2018 based on the allegations that he purported to be a prospective client on a telephone call with an unaffiliated third party.
For his other business activities, Handell lists "Principle [sic] disability and long term care since 7/2016" and "Eugene Cohen Insurance Agency, fixed insurance only as of 2/2017."
If you have invested with former AXA Advisors broker Micah Oliver Handell or with any financial adviser or representative who has impersonated or otherwise pretended to be you during a phone call, e-mail, or other correspondence with an outside firm—especially if the rep purporting to be you effected a transaction in your account that has proven harmful to your investments or interests—please call an experienced FINRA arbitration attorney at The Law Offices of Jonathan W. Evans & Associates at (800) 699-1881 for an investigation and consultation.