P2017-ND-029

On October 14, 2015, the Organization mailed investment confirmation notices to 49 clients. Between October 19 and October 29, 2015, the Organization received reports from five (5) clients advising that they received investment notices belonging to other clients, along with their own. The Organization contacted the 5 unintended recipients that reported the incident. Four (4) of the 5 returned the notices they received in error to the Organization. The 5th unintended recipient stated he would forward the investment notices to all three (3) clients whose mail he received in error. One of the three clients reported receiving this communication from the unintended recipient.