norm: curian capitalUSno LEI · no CIKMax severity: Medium

Canonical registry

Curian Capital, LLC

ent_7069501b85b9b2c207114b35

Compliance scorecard →View in feed →

Disclosures

1

State AG · 1 jurisdiction

Multi-filing incidents

—

no multi-filing incident in sample

Max affected reported

706

nationwide · State AG NH

Leak-site claims

0

none in sample

Identity resolution

Canonical name: Curian Capital, LLC
Normalized: curian capital— dedupe via name-norm; Microsoft / MSFT collapse to one row
GLEIF LEI: No match
SEC EDGAR CIK: None — not an SEC registrant
Domain: None on record

Disclosure history (1)newest first

New Hampshire State AGas victim2010-01-29
Curian Capital, LLC experienced a technical fault in report generation on January 19, 2010, causing client fee statements containing names, account numbers, balances, and SSNs to be inadvertently posted to incorrect financial professionals' secure online filing cabinets. The error was identified and corrected within 24 hours. Approximately 706 clients nationwide, including one New Hampshire resident, were affected. Curian notified affected individuals via mail starting February 1, 2010, and implemented enhanced security measures.