California Department of Business Oversight

The California Department of Business Oversight (DBO) inadvertently disclosed personal identifying information, including Social Security numbers, of registered investment advisers and broker-dealers in response to Public Records Act requests. The data was exposed in a field labeled 'Docket/Case #' which was not redacted. DBO placed an immediate hold on releasing electronic licensing records and is working with FINRA to prevent further disclosures. Notices were sent on March 23, 2015.