Credential Securities Inc.

On August 22, 2014, the Organization was contacted by a client who advised he had received an email from a third party who had purchased filing cabinets from an auction house in Vancouver that contained a file with his information. The Organization contacted the third party, and was told that 40 client files were found in the filing cabinet. The third party had emailed or called all 40 clients to inform them the files had been found. The Organization immediately retrieved the files from the third party. The Organization determined the filing cabinets had been sold to an auction house in September 2013 and the third party purchased 10 filing cabinets in November 2013. The third party stored the filing cabinets in a locked facility until May 2014 at which point the third party discovered the files.

File Type: pdf
Categories: 2015