AccidentalFinancial ServicesFinanceMisdeliveryCustomer Data InvolvedPIIIdentity (basic)Financial accountLowContained

RAYMOND JAMES FINANCIAL, INC.

bd_c85af7670c5ee504 · schema v1 · pii pii-v1

Severity

Low

Discovered

Feb 10, 2023

Filed

Mar 14, 2023

To disclose

5 weeks

Affected

3state residents only

Linked

2 filings

Confidence

67%

Full breach record for RAYMOND JAMES FINANCIAL, INC. →31 incidents on file

Raymond James Financial, Inc. notified the NH Attorney General that on Feb 10, 2023, it became aware that correspondence containing client names, addresses, and account numbers was mailed without proper sealing. Three NH residents were affected. The company placed ID theft alerts, deployed technical solutions, and offered 1-year credit monitoring.

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Incident timeline

discovery → filing · 5 weeks / 32 days

Feb 10, 2023

Discovered

Mar 14, 2023

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_55b7fc5435430dbc2023-03-14Verified

Name: RAYMOND JAMES FINANCIAL, INC.
norm: raymond james financial
Domain: raymondjames.com

Name: RAYMOND JAMES FINANCIAL, INC.
norm: raymond james financial
Domain: raymondjames.com
Industry: Financial Servicesllm

Discovered: Feb 10, 2023
Materiality determined: —
Notification sent: Mar 14, 2023
Affected individuals: 3state-resident count only
Data types: PIIIdentity (basic)Financial account
Attack vector: Unknown

During the incident: Deployed technical solutions to prevent this from occurring in the future
Placed ID Theft Alerts on all affected accounts
Provided 1-year credit monitoring to impacted individuals at no cost to the consumer
Notified your financial advisor of the issue
Changes made: Deployed technical solutions to prevent this from occurring in the future
Source: Quoted from the filing itself, not independently verified.

Time to disclose: 5 weeks(32 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 ↗

Massachusetts State AGMar 14 · first

New Hampshire State AGMar 14 · first · this page

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/raymond-james-client-services-20230314.pdf
DisclosureLens links to the originating regulator URL — full filing bodies are not redistributed from public surfaces (§4.5).
Filed at: Mar 14, 2023
Raw hash: e03bcbc6674f2a60bf6d31eb49cd35e39e50ec9104fc61c8976605bceb55a149

Linked disclosures

Regulatory filings (1) · sorted by filing gap

Reporting entityRAYMOND JAMES FINANCIAL, INC.

Victim entityRAYMOND JAMES FINANCIAL, INC.

Incidentdiscovered Feb 10, 2023

Stated responseDeployed technical solutions to prevent this from occurring in the future

Complianceclock not assessable

Extraction provenanceno artifact recorded

Source provenancemm.nh.gov