OPPENHEIMERFUNDS, INC.
ent_019ecdcfa173935d23f1cbbeb9054891
Disclosures
9
State AG · 4 jurisdictions
Multi-filing incidents
2
incidents joining 2+ filings here
Max affected reported
320
as filed · State AG MA
Leak-site claims
0
none in sample
Identity resolution
- Canonical name
- OPPENHEIMERFUNDS, INC.
- Normalized
- oppenheimerfunds— dedupe via name-norm; Microsoft / MSFT collapse to one row
- GLEIF LEI
- PDOAIGLBY74951MQ1C36
- SEC EDGAR CIK
- None — not an SEC registrant
- Domain
- oppenheimerfunds.com
- Corporate parent
- Invesco Ltd.— per SEC Exhibit 21 filing
Disclosure history (9)newest first
- New Hampshire State AGas victim2017-11-14
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.
- Massachusetts State AGas victim2015-04-09
Oppenheimer Funds reported a data breach to the Massachusetts Office of Consumer Affairs and Business Regulation. The breach was reported on 2015-04-09. 9 Massachusetts residents were affected. The report records the breach type as electronic.
- Massachusetts State AGas victim2015-04-08
Oppenheimer Funds reported a data breach to the Massachusetts Office of Consumer Affairs and Business Regulation. The breach was reported on 2015-04-08. 78 Massachusetts residents were affected. The report records the breach type as electronic.
- Massachusetts State AGas victim2015-01-29
Oppenheimer Funds reported a data breach to the Massachusetts Office of Consumer Affairs and Business Regulation. The breach was reported on 2015-01-29. 320 Massachusetts residents were affected. The report records the breach type as electronic.
- South Carolina State AGas victim2015-01-20
Oppenheimer Funds notified shareholders that a brokerage firm partner erroneously made accessible account numbers and SSNs during Jan 25, 2014 - Jan 8, 2015. The issue was resolved, and credit monitoring was offered.
- California State AGas victim2015-01-15
On April 24, 2014, a brokerage firm with a business relationship with OppenheimerFunds erroneously made shareholder names, addresses, account numbers, and Social Security numbers accessible to a registered representative of the firm. OppenheimerFunds was notified of the incident on January 9, 2015, and sent consumer notification letters dated January 15, 2015, offering free credit monitoring through Equifax.
- New Hampshire State AGas victim2014-08-01
Oppenheimer Funds notified the NH DOJ that a brokerage firm erroneously accessed the names, account numbers, and SSNs of NH shareholders on July 22, 2014. Oppenheimer resolved the error on July 23, 2014, and notified affected individuals on July 30, 2014, offering credit monitoring.
- Massachusetts State AGas victim2014-04-25
Oppenheimer Funds reported a data breach to the Massachusetts Office of Consumer Affairs and Business Regulation. The breach was reported on 2014-04-25. 10 Massachusetts residents were affected. The report records the breach type as undefined.
- Massachusetts State AGas victim2013-05-17
Oppenheimer Funds reported a data breach to the Massachusetts Office of Consumer Affairs and Business Regulation. The breach was reported on 2013-05-17. 1 Massachusetts residents were affected. The report records the breach type as paper.