AccidentalFinancial ServicesFinanceMisdeliveryCustomer Data InvolvedIdentity (basic)Government IDMediumResolved

American Stock Transfer & Trust Company, LLC

bd_a4d89ff4021bdfbd · schema v1 · pii pii-v1

Severity

Medium

Discovered

Jan 18, 2012

Filed

Feb 14, 2012

To disclose

27 days

Affected

4state residents only

Linked

2 filings

Confidence

66%

Full breach record for American Stock Transfer & Trust Company, LLC →5 incidents on file

American Stock Transfer & Trust Company, LLC notified the NH Attorney General of a misdelivery incident involving 4 NH residents. On Jan 17, 2012, 1099-DIV forms containing PII (name, address, TIN) were printed with incorrect addresses and mailed. Discovered Jan 18 after returns. Notifications and credit monitoring offered Jan 24. Addresses corrected.

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Incident timeline

undetected · 1 days

discovery → filing · 27 days

Jan 17, 2012

Begins

Jan 18, 2012

Discovered

Feb 14, 2012

Filed

vs. sector median

4 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_3792c346dbbd36ed2012-02-15 · +1dVerified

Name: American Stock Transfer & Trust Company, LLC
norm: american stock transfer
Domain: amstock.com

Name: American Stock Transfer & Trust Company, LLC
norm: american stock transfer
Domain: amstock.com
Industry: Financial Servicesllm

Discovered: Jan 18, 2012
Breach occurred: Jan 17, 2012
Undetected for: 1 dayoccurrence → discovery
Materiality determined: —
Notification sent: Jan 24, 2012
Affected individuals: 4state-resident count only
Data types: Identity (basic)Government ID
Attack vector: Unknown
Regulator citations: Notified Office of the Attorney General, Department of Justice, Consumer Protection Bureau, State of New Hampshire

During the incident: Began an internal investigation
Sent to every intended recipient of the form... a notification letter
Offering a complimentary one-year credit monitoring service
Corrected the spreadsheet containing the mailing addresses
Notify national credit reporting agencies of this incident
Continue to monitor the situation
Changes made: Corrected the spreadsheet containing the mailing addresses to ensure that the same problem will not be repeated
Source: Quoted from the filing itself, not independently verified.

Time to disclose: 27 days(27 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 AGFeb 14 · first · this page

Massachusetts State AG+1d

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/american-stock-20120214.pdf
DisclosureLens links to the originating regulator URL — full filing bodies are not redistributed from public surfaces (§4.5).
Filed at: Feb 14, 2012
Raw hash: 0948f7a1c92da52984d502a5e99873aac849ef145c13ca47ceb0a34d00736910

Linked disclosures

Regulatory filings (1) · sorted by filing gap

Reporting entityAmerican Stock Transfer & Trust Company, LLC

Victim entityAmerican Stock Transfer & Trust Company, LLC

Incidentdiscovered Jan 18, 2012

Stated responseBegan an internal investigation

Complianceclock not assessable

Extraction provenanceno artifact recorded

Source provenancemm.nh.gov