Social EngineeringFinancial ServicesFinancePhishingTargetedPIIFinancial accountLowContained

NWAM, LLC

bd_5aee9fcb23fb5ed0 · schema v1 · pii pii-v1

Severity

Low

Discovered

Jan 31, 2018

Filed

Mar 23, 2018

To disclose

7 weeks

Affected

2state residents only

Confidence

66%

NWAM, LLC (dba Northwest Asset Management) notified clients that an employee's email account was compromised via a phishing attack discovered on January 31, 2018. The attacker may have accessed client names and financial account numbers. No evidence of misuse was found. The company engaged forensic investigators and set up a response hotline.

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Incident timeline

discovery → filing · 7 weeks / 51 days

Jan 31, 2018

Discovered

Mar 23, 2018

Filed

vs. sector median

2 wks faster

Tracked as a single-filing incident — the only disclosure on record for this event so far.Confirmed2 affectedView incident

Name: NWAM, LLC
norm: nwam

Name: NWAM, LLC
norm: nwam
Industry: Financial Servicesllm

Discovered: Jan 31, 2018
Materiality determined: —
Notification sent: Mar 20, 2018
Affected individuals: 2state-resident count only
Data types: PIIFinancial account
Attack vector: Phishing
MITRE ATT&CK: T1566.002 Spearphishing Link
Threat actor: ExternalFinancial
Initial access: phishing_link

During the incident: Commenced a prompt and thorough investigation
Worked very closely with external cybersecurity professionals
Conducted an extensive forensic investigation
Performed manual document review of the compromised email account
Set up a dedicated and confidential toll-free response line
Working with account custodians to alert them about the situation
Changes made: Continually evaluate and modify practices and internal controls to enhance security and privacy
Source: Quoted from the filing itself, not independently verified.

Time to disclose: 7 weeks(51 days from discovery to filing)
Compliance flags: — (clock not assessable for this source)

Status: No extraction artifact recorded for this disclosure.

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://dojmt.gov/wp-content/uploads/Northwest-Asset-Managment.pdf
DisclosureLens links to the originating regulator URL — full filing bodies are not redistributed from public surfaces (§4.5).
Filed at: Mar 23, 2018
Raw hash: d7b6fdb72f46aa8d04462bb68bcfd7de0fddad8ab0dbc77357445aaa3d0cca0f

Reporting entityNWAM, LLC

Victim entityNWAM, LLC

Incidentdiscovered Jan 31, 2018

Stated responseCommenced a prompt and thorough investigation

Complianceclock not assessable

Extraction provenanceno artifact recorded

Source provenancedojmt.gov