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

LPL FINANCIAL LLC

bd_66ea226045eb8d61 · schema v1 · pii pii-v1

Severity

High

Discovered

Nov 1, 2018

Filed

Nov 16, 2018

To disclose

15 days

Affected

8,127state residents only

Linked

9 filings

Confidence

70%

Full breach record for LPL FINANCIAL LLC →37 incidents on file

LPL Financial LLC notified the Washington AG of a cyberattack at third-party provider Capital Forensics, Inc. on Nov 1, 2018. Unauthorized access to a user account on a file-sharing system exposed client names, account numbers, and SSNs. 8,127 WA residents notified. LPL removed data, heightened monitoring, and offered 2 years credit monitoring.

J jump to incidentP pin to compareR raw source

Incident timeline

discovery → filing · 15 days

Nov 1, 2018

Begins

Nov 1, 2018

Discovered

Nov 16, 2018

Filed

vs. sector median

6 wks faster

This filing is one of 9 about the same incident.View merged incident

Linked disclosures

Why this link?

Regulatory filings (8) · sorted by filing gap

Massachusetts State AGbd_63c74960da51c65e2018-11-16Verified
Oregon State AGbd_0b991770e333c0872018-11-17 · +1dVerified
California State AGbd_3497087925c6a5a22018-11-17 · +1dVerified
New Hampshire State AGbd_16b6cb0b51a24a252018-11-19 · +3dVerified

Show 4 more filings ↓up to 68d gap

South Carolina State AGbd_78490b8402d50ca72018-11-19 · +3dVerified
New Hampshire State AGbd_035fe324c7a65d902018-11-30 · +14dVerified
Montana State AGbd_e84a40ef8b955b812019-01-17 · +62dVerified
New Hampshire State AGbd_e5caf5bf46247a542019-01-23 · +68dVerified

Name: LPL FINANCIAL LLC
norm: lpl financial
Domain: lplfinancial.com

Name: LPL FINANCIAL LLC
norm: lpl financial
Domain: lplfinancial.com
Industry: Financial Servicesllm

Discovered: Nov 1, 2018
Breach occurred: Nov 1, 2018
Undetected for: 0 daysoccurrence → discovery
Materiality determined: —
Notification sent: Nov 17, 2018
Affected individuals: 8,127state-resident count only
Data types: Identity (basic)Government IDFinancial account
Data elements: NameSocial Security number
WA-stated cause: Cyberattack
WA-stated duration: lifecycle 0dexposure 0d
WA-stated discovery: Found while ongoingContained same day
Attack vector: Third-Party / Supply Chain
MITRE ATT&CK: T1078 Valid AccountsT1530 Data from Cloud Storage Object
Threat actor: External
Regulator citations: Notified Office of the Washington Attorney General
Third party: via Capital Forensics, Inc.
Initial access: valid_credentials

During the incident: Immediately launched an investigation
Coordinated with CFI to ensure that the LPL data, including client information, was removed from that file-sharing system
Conducted a thorough review of the files
Implemented heightened monitoring on the LPL accounts involved
Notified law enforcement
Changes made: Arranged for individuals to receive two years of complimentary credit monitoring and identity protection services from AllClear ID
Source: Quoted from the filing itself, not independently verified.

Time to disclose: 15 days(15 days from discovery to filing)
Compliance flags: — (clock not assessable for this source)

Status: No extraction artifact recorded for this disclosure.

Filing propagation · 9 filings · 7 states

View merged incident ↗

Massachusetts State AGNov 16 · first

Washington State AGNov 16 · first · this page

Oregon State AG+1d

California State AG+1d

New Hampshire State AG+3d

South Carolina State AG+3d

New Hampshire State AG+14d

Montana State AG+62d

New Hampshire State AG+68d

Pattern: first filing Nov 16 (MA), last Jan 23 (NH) — a 68-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://agportal-s3bucket.s3.amazonaws.com/databreach/BreachM10598.pdf
DisclosureLens links to the originating regulator URL — full filing bodies are not redistributed from public surfaces (§4.5).
Filed at: Nov 16, 2018
Raw hash: 173def6a321b9130b46f502d0fe126a2b54568e0f2254f33fb14dfe2f65c14c6

Linked disclosures

Regulatory filings (8) · sorted by filing gap

Reporting entityLPL FINANCIAL LLC

Victim entityLPL FINANCIAL LLC

Incidentdiscovered Nov 1, 2018

Stated responseImmediately launched an investigation

Complianceclock not assessable

Extraction provenanceno artifact recorded

Source provenanceagportal-s3bucket.s3.amazonaws.com