HackingFinancial ServicesFinanceStolen CredentialsSupply Chain (3P Vendor)Data ExfiltratedCustomer Data InvolvedIdentity (basic)Government IDFinancial accountMediumContained

Kestra Investment Services, LLC

bd_26fd8f121ea019ef · schema v1 · pii pii-v1

Severity

Medium

Discovered

Nov 21, 2018

Filed

Dec 21, 2018

To disclose

4 weeks

Affected

33state residents only

Linked

3 filings

Confidence

66%

Full breach record for Kestra Investment Services, LLC →3 incidents on file

Kestra Investment Services, LLC notified the NH Attorney General of a breach involving its third-party vendor, Capital Forensics, Inc. (CFI). On or about Nov 1, 2018, CFI was victimized by a cyberattack where an unauthorized party accessed a CFI employee account on a file-sharing system. Kestra determined on Nov 21, 2018 that client PII (names, SSNs, account numbers) was compromised. 33 NH residents were notified on Dec 20, 2018. CFI engaged forensics and notified law enforcement; credit monitoring was offered.

J jump to incidentP pin to compareR raw source

Incident timeline

undetected · 20 days

discovery → filing · 4 weeks / 30 days

Nov 1, 2018

Begins

Nov 21, 2018

Discovered

Dec 21, 2018

Filed

vs. sector median

4 wks faster

This filing is one of 3 about the same incident.View merged incident

Linked disclosures

Why this link?

Regulatory filings (2) · sorted by filing gap

Massachusetts State AGbd_7d7dd6d539c9e70d2018-12-20 · +1dCandidate
Montana State AGbd_fad38f484a0691df2018-12-20 · +1dVerified

Name: Kestra Investment Services, LLC
norm: kestra investment

Name: Kestra Investment Services, LLC
norm: kestra investment
Industry: Financial Servicesllm

Discovered: Nov 21, 2018
Breach occurred: Nov 1, 2018
Undetected for: 20 daysoccurrence → discovery
Materiality determined: —
Notification sent: Dec 20, 2018
Affected individuals: 33state-resident count only
Data types: Identity (basic)Government IDFinancial account
Data elements: Social Security number
Attack vector: Third-Party / Supply Chain
MITRE ATT&CK: T1078 Valid AccountsT1041 Exfiltration Over C2 Channel
Threat actor: ExternalFinancial
Regulator citations: Notified New Hampshire Office of the Attorney General
Third party: via Capital Forensics, Inc.
Initial access: valid_credentials

During the incident: CFI cut off access to the account within four hours of the incident's occurrence
Incident was fully mitigated within six hours
Kestra immediately undertook an internal investigation
CFI notified law enforcement
CFI engaged an independent forensic investigation firm to conduct an analysis of the data breach
Kestra began mailing written communications to impacted individuals
Changes made: CFI is offering the impacted individuals a complimentary two-year membership in credit monitoring and identity theft protection services through AllClear
Kestra continues to investigate the incident in order to determine what, if any, additional safeguards could be employed to reduce the likelihood of similar occurrences with its vendors in the future
Source: Quoted from the filing itself, not independently verified.

Time to disclose: 4 weeks(30 days from discovery to filing)
Compliance flags: — (clock not assessable for this source)

Status: No extraction artifact recorded for this disclosure.

Filing propagation · 3 filings · 3 states

View merged incident ↗

Massachusetts State AGDec 20 · first

Montana State AGDec 20 · first

New Hampshire State AG+1d · this page

Evidence ladder

Leak-site claim

Attacker assertion only. Establishes: claim date, group, alleged victim.

Press / market report

Unlocks: incident narrative, operational impact. Still no compliance clock.

State AG / regulator filingThis record

Unlocks: discovery date, data types, affected count, compliance clock.

SEC 8-K / victim statement

Unlocks: materiality, stated response, full audit trail. Ceiling removed.

Source URL: https://mm.nh.gov/files/uploads/doj/remote-docs/kestra-investment-20181221.pdf
DisclosureLens links to the originating regulator URL — full filing bodies are not redistributed from public surfaces (§4.5).
Filed at: Dec 21, 2018
Raw hash: da0f6fe57a46bbe90ea856f29b9a34ed38c19f89e2b6bba747ec1239e5e7dcd1

Linked disclosures

Regulatory filings (2) · sorted by filing gap

Reporting entityKestra Investment Services, LLC

Victim entityKestra Investment Services, LLC

Incidentdiscovered Nov 21, 2018

Stated responseCFI cut off access to the account within four hours of the incident's occurrence

Complianceclock not assessable

Extraction provenanceno artifact recorded

Source provenancemm.nh.gov