HackingFinancial ServicesFinanceStolen CredentialsSupply Chain (3P Vendor)Customer Data InvolvedIdentity (basic)Government IDFinancial accountMediumActive

Kestra Investment Services, LLC

bd_fad38f484a0691df · schema v1 · pii pii-v1

Severity

Medium

Discovered

Nov 21, 2018

Filed

Dec 20, 2018

To disclose

29 days

Affected

2state residents only

Linked

3 filings

Confidence

66%

Full breach record for Kestra Investment Services, LLC →3 incidents on file

Kestra Investment Services, LLC notified clients of a data breach involving a third-party provider, Capital Forensics, Inc. An unauthorized party accessed data via a CFI employee account on or before Nov 21, 2018. Compromised data included names, SSNs, and account numbers. Kestra engaged forensic investigators and notified law enforcement. Affected individuals received 24 months of identity protection.

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Incident timeline

discovery → filing · 29 days

Nov 21, 2018

Discovered

Dec 20, 2018

Filed

vs. sector median

4 wks faster

This filing is one of 3 about the same incident.View merged incident

Linked disclosures

Why this link?

Regulatory filings (2) · sorted by filing gap

Massachusetts State AGbd_7d7dd6d539c9e70d2018-12-20Candidate
New Hampshire State AGbd_26fd8f121ea019ef2018-12-21 · +1dVerified

Name: Kestra Investment Services, LLC
norm: kestra investment

Name: Kestra Investment Services, LLC
norm: kestra investment
Industry: Financial Servicesllm

Discovered: Nov 21, 2018
Materiality determined: —
Notification sent: Dec 20, 2018
Affected individuals: 2state-resident count only
Data types: Identity (basic)Government IDFinancial account
Data elements: Social Security number
Attack vector: Third-Party / Supply Chain
MITRE ATT&CK: T1078 Valid AccountsT1119 Automated Collection
Threat actor: ExternalFinancial
Regulator citations: Notified law enforcement
Third party: via Capital Forensics, Inc.
Initial access: valid_credentials

During the incident: CFI promptly acted to secure the compromised account
CFI notified law enforcement
CFI engaged an independent forensic investigation firm
Kestra IS conducted a forensic analysis
Kestra IS and CFI continue to investigate the incident
Arranged AllClear ID identity protection for 24 months
Changes made: Secured the compromised account
Engaged independent forensic investigation firm
Source: Quoted from the filing itself, not independently verified.

Time to disclose: 29 days(29 days from discovery to filing)
Compliance flags: — (clock not assessable for this source)

Status: No extraction artifact recorded for this disclosure.

Filing propagation · 3 filings · 3 states

View merged incident ↗

Massachusetts State AGDec 20 · first

Montana State AGDec 20 · first · this page

New Hampshire State AG+1d

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/Kestra-Investment-Services-LLC.pdf
DisclosureLens links to the originating regulator URL — full filing bodies are not redistributed from public surfaces (§4.5).
Filed at: Dec 20, 2018
Raw hash: 85964bd40fbc76e43cbc0079b2729a49eaafc844dbaee3d3558f00b56d2f97df

Linked disclosures

Regulatory filings (2) · sorted by filing gap

Reporting entityKestra Investment Services, LLC

Victim entityKestra Investment Services, LLC

Incidentdiscovered Nov 21, 2018

Stated responseCFI promptly acted to secure the compromised account

Complianceclock not assessable

Extraction provenanceno artifact recorded

Source provenancedojmt.gov