Breachesby GlyphCetera Financial Group
Disclosed Sep 1, 20214,388 affectedSettled
Email account takeovers exposed 4,388 clients' data; SEC sanctions
The SEC found that cloud email accounts of more than 60 Cetera employees were taken over for over three years, exposing personal information of at least 4,388 clients. Cetera, Cambridge Investment Research and KMS Financial were sanctioned USD 750,000 combined.
What is known
| People affected | 4,388 (as reported by the organization) |
|---|---|
| Disclosed | Sep 1, 2021 |
| Happened | Nov 29, 2021 |
| Attack | Phishing |
| Data exposed | NamesSocial Security numbersFinancial |
| Sector | Finance · US |
| Status | Settled |
| Lawsuit or fine | SEC sanctions, USD 750,000 combined with Cambridge and KMS (Aug 2021) |
Sources
Notices filed
Other breaches at Cetera Financial Group
Breach, details not statedExposed Social Security numbers, payment cards, financial details, addresses and names. Reported to the California AG.43K affectedTechUSMar 25Hacking breachHacking exposed names, Social Security numbers, government IDs, payment cards and financial details. Reported to the California AG.109K affectedTechUSAug 21, 2020Breach, details not statedExposed names, Social Security numbers and government IDs. Reported to the Maine AG.1,662 affectedFinanceUSJun 6, 2019
History of this record
press to officialby backfillSource
https://techcrunch.com/2021/09/01/sec-fines-brokerage-firms-over-email-hacks-that-exposed-client-data/ to https://www.in.gov/attorneygeneral/consumer-protection-division/id-theft-prevention/files/2022-DB-Year-to-Date-Report-for-Website.pdfby backfillSource
empty to in-agby backfillSource
0 to 1by backfillSource
empty to 2021-11-29by backfillSource
First recordedby seedSource
First seen 2026-09-25 (Research), confirmed by Indiana AG. Record counts are as reported. Not legal advice.