Social EngineeringFinancial ServicesFinancePhishingCustomer Data InvolvedIdentity (basic)Government IDMediumContained

HD Vest Investment Services (2)

bd_e83b554b0e1ed668 · schema v1 · pii pii-v1

Severity

Medium

Discovered

Aug 1, 2016

Filed

Oct 5, 2016

To disclose

9 weeks

Affected

2state residents only

Linked

2 filings

Confidence

64%

Full breach record for HD Vest Investment Services (2) →4 incidents on file

HD Vest Investment Services notified the New Hampshire Attorney General of a phishing incident affecting 2 state residents. An advisor received a malicious message on July 28, 2016, granting an attacker remote access to her computer until August 1, 2016. The attacker potentially accessed customer PII, including SSNs. HD Vest notified residents on October 4, 2016, and offered credit monitoring.

J jump to incidentP pin to compareR raw source

Incident timeline

undetected · 4 days

discovery → filing · 9 weeks / 65 days

Jul 28, 2016

Begins

Aug 1, 2016

Discovered

Oct 5, 2016

Filed

vs. sector median

+1 wks slower

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

Montana State AGbd_fc93354e20de9c232016-10-05Candidate

Name: BAKER & HOSTETLER LLP
norm: baker hostetler

Name: HD Vest Investment Services (2)
norm: hd vest investment services 2
Industry: Financial Servicesllm

Discovered: Aug 1, 2016
Breach occurred: Jul 28, 2016 – Aug 1, 2016
Undetected for: 4 daysoccurrence → discovery
Materiality determined: —
Notification sent: Oct 4, 2016
Affected individuals: 2state-resident count only
Data types: Identity (basic)Government ID
Attack vector: Phishing
MITRE ATT&CK: T1566.002 Spearphishing Link
Threat actor: External
Initial access: phishing_link

During the incident: Began an investigation
Providing written notification via U.S. Mail
Offering them one-year of complimentary credit monitoring and resolution services through ID Experts
Providing telephone support for those affected
Reinforcing education to its advisors regarding the protection of sensitive information
Changes made: Reinforcing education to its advisors regarding the protection of sensitive information
Source: Quoted from the filing itself, not independently verified.

Time to disclose: 9 weeks(65 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 ↗

Montana State AGOct 5 · first

New Hampshire State AGOct 5 · first · 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/hd-vest-investment-20161005.pdf
DisclosureLens links to the originating regulator URL — full filing bodies are not redistributed from public surfaces (§4.5).
Filed at: Oct 5, 2016
Raw hash: 3fad1001202d1e63212da0b7942f789cb382bd0ca0bbfff9e338406b068dff3d

Linked disclosures

Regulatory filings (1) · sorted by filing gap

Reporting entityBAKER & HOSTETLER LLP

Victim entityHD Vest Investment Services (2)

Incidentdiscovered Aug 1, 2016

Stated responseBegan an investigation

Complianceclock not assessable

Extraction provenanceno artifact recorded

Source provenancemm.nh.gov