Data Breach Notifications

Entity Information

• Type of Organization: Other Commercial
• Entity Name: Various Data Owners, As Identified in Appendix to Letter
• Street Address: Various
• City: Various
• State, or Country if outside the US: Various
• Zip Code: Various

Submitted By

• Name: James Alex
• Title: Vice President, Legal and Compliance
• Firm name (if different than entity): Morgan Stanley
• Telephone Number: +1 (212) 537-3014
• Email Address: james.alex@morganstanley.com
• Relationship to entity whose information was compromised: Provided StockPlan Connect Services to Various Companies, As Identified in Appendix to Letter

Breach Information

• Total number of persons affected (including residents): 33,443
• Total number of Maine residents affected: 116
• If the number of Maine residents exceeds 1,000, have the consumer reporting agencies been notified:
• Date(s) Breach Occured: 01/20/2021
• Date Breach Discovered: 05/20/2021
• Description of the Breach:
  • External system breach (hacking)
• Information Acquired - Name or other personal identifier in combination with: Social Security Number

Notification and Protection Services

• Type of Notification: Written
• Date(s) of consumer notification: 07/02/2021
• Copy of notice to affected Maine residents: Data Security Incident Consumer Notice - Brokerage - SUM Shareworks.pdf Data Security Incident Consumer Notice - Brokerage -MS Shareworks.pdf Data Security Incident Consumer Notice - Non-Brokerage - MS Shareworks .pdf Data Security Incident Consumer Notice - Non-Brokerage - SUM Shareworks.pdf Data Security Incident Notice - Corporate Client Notice.pdf Data Security Incident Notice - Maine Office of the Attorney General.pdf
• Date of any previous (within 12 months) breach notifications: July 10, 2020
• Were identity theft protection services offered: Yes
• If yes, please provide the duration, the provider of the service and a brief description of the service: Guidehouse, the Morgan Stanley vendor that experienced the breach, is offering affected Maine residents 24 months of Experian IdentityWorks credit monitoring and fraud detection services, including free Identity Restoration services.