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

LPL FINANCIAL LLC

bd_78490b8402d50ca7 · schema v1 · pii pii-v1

Severity

High

Discovered

Nov 1, 2018

Filed

Nov 19, 2018

To disclose

18 days

Affected

3,006state residents only

Linked

9 filings

Confidence

64%

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

LPL Financial LLC notified clients of a data security incident involving its service provider, Capital Forensics, Inc. On November 1, 2018, an unauthorized person accessed a Capital Forensics user account on a file-sharing system, potentially exposing client account numbers and Social Security Numbers. LPL launched an investigation, coordinated with Capital Forensics to remove the data, and implemented heightened monitoring. Law enforcement was notified, and affected individuals were offered two years of free credit monitoring and identity protection services.

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South Carolina clock✓ SC CRA notice due18 days discovery → filing

⚠ occurrence dateThe stored discovery date equals the breach OCCURRENCE date. Detection is normally later, so this OVERSTATES the delay — a 'late' verdict here may not be real.

Incident timeline

discovery → filing · 18 days

Nov 1, 2018

Begins

Nov 1, 2018

Discovered

Nov 19, 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

New Hampshire State AGbd_16b6cb0b51a24a252018-11-19Verified
Oregon State AGbd_0b991770e333c0872018-11-17 · +2dVerified
California State AGbd_3497087925c6a5a22018-11-17 · +2dVerified
Massachusetts State AGbd_63c74960da51c65e2018-11-16 · +3dVerified

Show 4 more filings ↓up to 65d gap

Washington State AGbd_66ea226045eb8d612018-11-16 · +3dCandidate
New Hampshire State AGbd_035fe324c7a65d902018-11-30 · +11dVerified
Montana State AGbd_e84a40ef8b955b812019-01-17 · +59dVerified
New Hampshire State AGbd_e5caf5bf46247a542019-01-23 · +65dVerified

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: 3,006state-resident count only
Data types: Identity (basic)Government ID
Data elements: Social Security number
Attack vector: Third-Party / Supply Chain
MITRE ATT&CK: T1078 Valid AccountsT1119 Automated Collection
Threat actor: ExternalFinancial
Regulator citations: law enforcement has also been notified of the incident
Third party: via Capital Forensics, Inc.
Initial access: valid_credentials

During the incident: Immediately launched an investigation
Coordinated with Capital Forensics 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
Law enforcement has also been notified of the incident
Offering you a two-year membership in AllClear ID at no cost to you
Changes made: Implemented heightened monitoring on the LPL accounts involved
Source: Quoted from the filing itself, not independently verified.

Time to disclose: 18 days(18 days from discovery to filing)
Compliance flags: SC CRA notice due
Discovery-date grounding: occurrence dateThe stored discovery date equals the breach OCCURRENCE date. Detection is normally later, so this OVERSTATES the delay — a 'late' verdict here may not be real.

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

Oregon State AG+1d

California State AG+1d

New Hampshire State AG+3d

South Carolina State AG+3d · this page

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://consumer.sc.gov/sites/consumer/files/Documents/Business%20Resources%20Laws/Related%20Laws/Breaches/2018/LPLFinancial.pdf
DisclosureLens links to the originating regulator URL — full filing bodies are not redistributed from public surfaces (§4.5).
Filed at: Nov 19, 2018
Raw hash: 23763e7ebf818f0fe07344aa24cb4aa18ad260afa22a3006aead8fe66510c746

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

ComplianceSC CRA notice due

Extraction provenanceno artifact recorded

Source provenanceconsumer.sc.gov