AccidentalFinancial ServicesFinanceMisdeliveryCustomer Data InvolvedIdentity (basic)Government IDMediumResolved

BROADRIDGE FINANCIAL SOLUTIONS, INC.

bd_2974955918841c2f · schema v1 · pii pii-v1

Severity

Medium

Discovered

Jun 2, 2009

Filed

Jun 22, 2009

To disclose

20 days

Affected

10state residents only

Linked

2 filings

Confidence

66%

Full breach record for BROADRIDGE FINANCIAL SOLUTIONS, INC. →

Broadridge Financial Solutions, Inc. inadvertently disclosed shareholder information, including names and Social Security numbers, of Dynegy Inc. to another client's manager of investor relations on June 2, 2009. The recipient notified Broadridge immediately, and the file was securely destroyed. Broadridge instituted additional quality control procedures to prevent recurrence. Approximately 10 New Hampshire residents were affected.

J jump to incidentP pin to compareR raw source

Incident timeline

discovery → filing · 20 days

Jun 2, 2009

Begins

Jun 2, 2009

Discovered

Jun 22, 2009

Filed

vs. sector median

6 wks faster

This filing is one of 2 about the same incident.View merged incident

Linked disclosures

Why this link?

Regulatory filings (1) · sorted by filing gap

Massachusetts State AGbd_324bca71417f6c232009-06-25 · +3dVerified

Name: BROADRIDGE FINANCIAL SOLUTIONS, INC.
norm: broadridge financial
Domain: broadridge.com

Name: BROADRIDGE FINANCIAL SOLUTIONS, INC.
norm: broadridge financial
Domain: broadridge.com
Industry: Financial Servicesllm

Discovered: Jun 2, 2009
Breach occurred: Jun 2, 2009
Undetected for: 0 daysoccurrence → discovery
Materiality determined: —
Notification sent: —
Affected individuals: 10state-resident count only
Data types: Identity (basic)Government ID
Data elements: Social Security number
Attack vector: Unknown
Regulator citations: Notified the Attorney General of the State of New Hampshire

During the incident: Confirmed that the company that wrongfully received the shareholder information has securely disposed of the file
Mailing notices as required by law
Changes made: Instituted an additional quality control procedure involving a check of the contents of these files before shipping to prevent a reoccurrence of this type of event
Source: Quoted from the filing itself, not independently verified.

Time to disclose: 20 days(20 days from discovery to filing)
Compliance flags: — (clock not assessable for this source)

Status: No extraction artifact recorded for this disclosure.

Filing propagation · 2 filings · 2 states

View merged incident ↗

New Hampshire State AGJun 22 · first · this page

Massachusetts State AG+3d

Evidence ladder

Leak-site claim

Attacker assertion only. Establishes: claim date, group, alleged victim.

Press / market report

Unlocks: incident narrative, operational impact. Still no compliance clock.

State AG / regulator filingThis record

Unlocks: discovery date, data types, affected count, compliance clock.

SEC 8-K / victim statement

Unlocks: materiality, stated response, full audit trail. Ceiling removed.

Source URL: https://mm.nh.gov/files/uploads/doj/remote-docs/broadridge-financial-20090622.pdf
DisclosureLens links to the originating regulator URL — full filing bodies are not redistributed from public surfaces (§4.5).
Filed at: Jun 22, 2009
Raw hash: 60b8cf53fdead6c970c032d904f28d46193a02afecd942791f0fb5923b403216

Linked disclosures

Regulatory filings (1) · sorted by filing gap

Reporting entityBROADRIDGE FINANCIAL SOLUTIONS, INC.

Victim entityBROADRIDGE FINANCIAL SOLUTIONS, INC.

Incidentdiscovered Jun 2, 2009

Stated responseConfirmed that the company that wrongfully received the shareholder information has securely disposed of the file

Complianceclock not assessable

Extraction provenanceno artifact recorded

Source provenancemm.nh.gov