AccidentalFinancial ServicesFinanceMisdeliveryCustomer Data InvolvedIdentity (basic)Government IDFinancial accountMediumResolved

OPPENHEIMERFUNDS, INC.

bd_a10d4cc9a2278bb7 · schema v1 · pii pii-v1

Severity

Medium

Discovered

Nov 3, 2017

Filed

Nov 14, 2017

To disclose

11 days

Affected

Not disclosed

Confidence

64%

Full breach record for OPPENHEIMERFUNDS, INC. →7 incidents on file

OppenheimerFunds, Inc. notified shareholders that between May 24, 2011 and October 16, 2017, certain account information (name, address, SSN, account number) was erroneously sent to a financial services partner. The incident was discovered on November 3, 2017. OppenheimerFunds remediated the error and offered one year of identity protection via Experian.

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Incident timeline

undetected · 2355 days

discovery → filing · 11 days

May 24, 2011

Begins

Nov 3, 2017

Discovered

Nov 14, 2017

Filed

vs. sector median

7 wks faster

Tracked as a single-filing incident — the only disclosure on record for this event so far.ConfirmedView incident

Name: OPPENHEIMERFUNDS, INC.
norm: oppenheimerfunds
Domain: oppenheimerfunds.com

Name: OPPENHEIMERFUNDS, INC.
norm: oppenheimerfunds
Domain: oppenheimerfunds.com
Industry: Financial Servicesllm

Discovered: Nov 3, 2017
Breach occurred: May 24, 2011 – Oct 16, 2017
Undetected for: 2,355 daysoccurrence → discovery
Materiality determined: —
Notification sent: Nov 14, 2017
Affected individuals: Not disclosed
Data types: Identity (basic)Government IDFinancial account
Attack vector: Third-Party / Supply Chain
MITRE ATT&CK: T1041 Exfiltration Over C2 Channel
Threat actor: Partner

During the incident: Addressed the issue that caused this error
Offering one-year membership to Experian IdentityWorks identity protection
Changes made: Addressed the issue that caused this error
Source: Quoted from the filing itself, not independently verified.

Time to disclose: 11 days(11 days from discovery to filing)
Compliance flags: — (clock not assessable for this source)

Status: No extraction artifact recorded for this disclosure.

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/oppenheimer-20171114.pdf
DisclosureLens links to the originating regulator URL — full filing bodies are not redistributed from public surfaces (§4.5).
Filed at: Nov 14, 2017
Raw hash: fadab73cb78f513bc6b94a86ff5493dc20ddc2a89783bf8179d253882e09cbcd

Reporting entityOPPENHEIMERFUNDS, INC.

Victim entityOPPENHEIMERFUNDS, INC.

Incidentdiscovered Nov 3, 2017

Stated responseAddressed the issue that caused this error

Complianceclock not assessable

Extraction provenanceno artifact recorded

Source provenancemm.nh.gov