HackingFinancial ServicesFinanceStolen CredentialsSupply Chain (3P Vendor)Customer Data InvolvedMulti-Stage ChainIdentity (basic)Government IDMediumActive

CETERA FINANCIAL GROUP, INC.

bd_e5173c4e7e9fd671 · schema v1 · pii pii-v1

Severity

Medium

Discovered

Mar 16, 2022

Filed

Jun 15, 2022

To disclose

13 weeks

Affected

4state residents only

Linked

5 filings

Confidence

66%

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

Cetera Financial Group notified the NH AG of a third-party data breach involving its printing provider, R.R. Donnelley. Unauthorized access occurred Nov 29-Dec 23, 2021. CFG discovered the event on March 16, 2022. 4 NH residents affected (name, SSN). CFG is investigating, notifying regulators, and offering 1 year of credit monitoring.

J jump to incidentP pin to compareR raw source

Incident timeline

undetected · 107 days

discovery → filing · 13 weeks / 91 days

Nov 29, 2021

Begins

Mar 16, 2022

Discovered

Jun 15, 2022

Filed

vs. sector median

+4 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_205602e77e31eb922022-06-09 · +6dCandidate
Massachusetts State AGbd_9948dff0c8caa7622022-06-09 · +6dVerified
Montana State AGbd_b414374870862ef52022-06-09 · +6dVerified by operator
Indiana State AGbd_bccf89e1f2ea7a122022-06-09 · +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 9, 2022
Affected individuals: 4state-resident count only
Data types: Identity (basic)Government ID
Attack vector: Third-Party / Supply Chain
MITRE ATT&CK: T1195 Supply Chain CompromiseT1078 Valid Accounts
Threat actor: External
Regulator citations: Notified New Hampshire Attorney General Consumer Protection Bureau
Third party: via R.R. Donnelley & Sons Company
Initial access: supply_chain

During the incident: Commenced an investigation
Requesting additional information on the event and RRD’s investigation
Providing written notice of this incident to relevant regulators
Providing written notice to the three major credit reporting agencies
Offering complimentary credit monitoring services for one (1) year through Experian
Changes made: Reviewing its policies and procedures regarding third-party vendors
Reviewing policies and procedures regarding data transfers
Working with RRD to evaluate additional measures and safeguards
Source: Quoted from the filing itself, not independently verified.

Time to disclose: 13 weeks(91 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

Montana State AGJun 9 · first

Indiana State AGJun 9 · first

New Hampshire State AG+6d · this page

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://mm.nh.gov/files/uploads/doj/remote-docs/cetera-financial-group-20220615.pdf
DisclosureLens links to the originating regulator URL — full filing bodies are not redistributed from public surfaces (§4.5).
Filed at: Jun 15, 2022
Raw hash: ff0aea193b55a69d2641b084f7179cdfe4ffb480f66ce8b5bf6fb7e8902ec209

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 provenancemm.nh.gov