Social EngineeringFinancial ServicesFinancePhishingStolen CredentialsCustomer Data InvolvedTargetedIdentity (basic)Government IDFinancial accountMediumContained

NWAM, LLC

bd_a63a4b58b7e9740a · schema v1 · pii pii-v1

Severity

Medium

Discovered

Jan 31, 2018

Filed

Mar 23, 2018

To disclose

7 weeks

Affected

1state residents only

Linked

2 filings

Confidence

67%

Full breach record for NWAM, LLC →

NWAM, LLC notified the NH AG of an email compromise affecting one resident. Discovered Jan 31, 2018, after an employee fell victim to a phishing attack. Compromised account contained name, SSN, and potentially financial data. Notification sent March 23, 2018, offering credit monitoring.

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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

This filing is one of 2 about the same incident.View merged incident

Linked disclosures

Why this link?

Regulatory filings (1) · sorted by filing gap

Massachusetts State AGbd_e22cb924f1f27f0c2018-03-26 · +3dVerified

Name: NWAM, LLC
norm: nwam

Name: NWAM, LLC
norm: nwam
Also named: NWAM, LLCdba oflegal entity
Northwest Asset Managementdba oftrade name
Industry: Financial Servicesllm

Discovered: Jan 31, 2018
Materiality determined: —
Notification sent: Mar 23, 2018
Affected individuals: 1state-resident count only
Data types: Identity (basic)Government IDFinancial account
Data elements: Social Security number
Attack vector: Phishing
MITRE ATT&CK: T1566.002 Spearphishing LinkT1078 Valid AccountsT1114 Email Collection
Threat actor: ExternalFinancial
Regulator citations: Notified New Hampshire Attorney General
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
Conducted a manual document review
Provided written notice to the affected resident
Offered a complimentary membership with a credit monitoring and identity theft protection service
Advised the affected resident to remain vigilant in reviewing financial account statements
Advised the affected resident about the process for placing a fraud alert and security freeze
Provided contact information for consumer reporting agencies and the Federal Trade Commission
Set up a dedicated and confidential toll-free response line
Strengthening its document storage procedures
Changes made: Continually evaluating and modifying its practices to enhance the security and privacy of confidential information
Strengthening its document storage procedures to help prevent similar issues in the future
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.

Filing propagation · 2 filings · 2 states

View merged incident ↗

New Hampshire State AGMar 23 · first · this page

Massachusetts State AG+3d

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/nwam-20180323.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: 41ead77088d4434275248c05daf7e577d25ccd0bd243a9a7d97cab55b77e414f

Linked disclosures

Regulatory filings (1) · sorted by filing gap

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 provenancemm.nh.gov