Investment adviser firm Curian Capital maintains some records on clients of the financial professionals (such as investment advisers and broker-deals) it serves.
According to a notification to the New Hampshire Attorney General’s Office dated January 29, on January 19, during the posting of routine fee statements to the secure electronic file cabinets of its financial professional clients, a glitch resulted in 706 individuals’ account data being available to one financial professional who was not their financial professional. The information included account balances and Social Security numbers. The error was corrected the next day and the individuals were notified.
Because financial professionals have a contractual relationship with Curian Capital and there is no evidence of misuse of the information, the firm does not anticipate any significant risk to individuals as a result of the error.