Investacorp, Inc.

A vendor of the broker-dealer, National Financial Services (NFS), used by Investacorp was involved in a data security breach.  On or around March 12, 2012, Investacorp learned that an NFS vendor had inadvertently shared electronic files with another federally regulated broker-dealer that also uses NFS's services.  The incident occurred on November 29, 2011 and was first noticed on February 13, 2012. The information included client names, Social Security numbers, and certain types of account data. Five Investacorp clients from California may have been affected, but the total number of affected individuals nationwide was not reported.  The vendor responsible for the mistake worked with the other broker-dealer to delete the client files from their system. Investacorp then received an executed affidavit from the broker-dealer certifying the destruction of the electronic files.