HackingFinancial ServicesFinanceSupply Chain (3P Vendor)Customer Data InvolvedPIIIdentity (basic)LowContained

CETERA FINANCIAL GROUP, INC.

bd_b414374870862ef5 · schema v1 · pii pii-v1

Severity

Low

Discovered

Mar 16, 2022

Filed

Jun 9, 2022

To disclose

12 weeks

Affected

4state residents only

Linked

5 filings

Confidence

64%

Full breach record for CETERA FINANCIAL GROUP, INC. →7 incidents on file

Cetera Financial Group notified customers of a data security event at third-party vendor R.R. Donnelley & Sons Company. Unauthorized access occurred between Nov 29 and Dec 23, 2021. Affected data included names and account numbers. Cetera investigated, engaged credit monitoring, and reviewed vendor policies.

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Incident timeline

undetected · 107 days

discovery → filing · 12 weeks / 85 days

Nov 29, 2021

Begins

Mar 16, 2022

Discovered

Jun 9, 2022

Filed

vs. sector median

+3 wks slower

This filing is one of 5 about the same incident.View merged incident

Part of R. R. DONNELLEY & SONS COMPANY supply-chain incident (2022) — a supply-chain cascade affecting multiple organizations.View cascade →

Linked disclosures

Why this link?

Regulatory filings (4) · sorted by filing gap

Maine State AGbd_205602e77e31eb922022-06-09Candidate
Massachusetts State AGbd_9948dff0c8caa7622022-06-09Verified
Indiana State AGbd_bccf89e1f2ea7a122022-06-09Verified
New Hampshire State AGbd_e5173c4e7e9fd6712022-06-15 · +6dVerified

Name: CETERA FINANCIAL GROUP, INC.
norm: cetera financial
Domain: cetera.com

Name: CETERA FINANCIAL GROUP, INC.
norm: cetera financial
Domain: cetera.com
Industry: Financial Servicesllm

Discovered: Mar 16, 2022
Breach occurred: Nov 29, 2021 – Dec 23, 2021
Undetected for: 107 daysoccurrence → discovery
Materiality determined: —
Notification sent: Jun 7, 2022
Affected individuals: 4state-resident count only
Data types: PIIIdentity (basic)
Attack vector: Third-Party / Supply Chain
MITRE ATT&CK: T1195 Supply Chain Compromise
Threat actor: External
Third party: via R. R. Donnelley & Sons Company

During the incident: Commenced an investigation
Requesting additional information on the event and RRD’s investigation
Arranged to provide credit monitoring services for 12 months at no cost
Changes made: Reviewing its policies and procedures regarding third-party vendors, data transfers
Working with RRD to evaluate additional measures and safeguards
Source: Quoted from the filing itself, not independently verified.

Time to disclose: 12 weeks(85 days from discovery to filing)
Compliance flags: — (clock not assessable for this source)

Status: No extraction artifact recorded for this disclosure.

Filing propagation · 5 filings · 5 states

View merged incident ↗

Maine State AGJun 9 · first

Massachusetts State AGJun 9 · first

Indiana State AGJun 9 · first

Montana State AGJun 9 · first · this page

New Hampshire State AG+6d

Pattern: first filing Jun 9 (ME), last Jun 15 (NH) — a 6-day rolling notification. Rolling spreads often mean counsel is filing as thresholds trip per state. Why this link?

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/Cetera-Financial-Group-Consumer-Notification-Letter.pdf
DisclosureLens links to the originating regulator URL — full filing bodies are not redistributed from public surfaces (§4.5).
Filed at: Jun 9, 2022
Raw hash: 65099aa3c495dcc88bc18245314a155a636a5dc6661b08390fbddba0aa74f071

Linked disclosures

Regulatory filings (4) · sorted by filing gap

Reporting entityCETERA FINANCIAL GROUP, INC.

Victim entityCETERA FINANCIAL GROUP, INC.

Incidentdiscovered Mar 16, 2022

Stated responseCommenced an investigation

Complianceclock not assessable

Extraction provenanceno artifact recorded

Source provenancedojmt.gov