AccidentalFinancial ServicesFinanceMisdeliveryCustomer Data InvolvedIdentity (basic)Financial accountLowResolved

LPL FINANCIAL LLC

bd_e19ccd35e181f587 · schema v1 · pii pii-v1

Severity

Low

Discovered

—

Filed

Aug 29, 2014

To disclose

—

Affected

3state residents only

Confidence

68%

Full breach record for LPL FINANCIAL LLC →32 incidents on file

LPL Financial LLC notified the New Hampshire Attorney General of a security breach affecting 3 NH residents. Personal information (names, account numbers, balances) was mistakenly sent to a securities regulator. Investigation concluded July 16, 2014. Notifications sent September 2, 2014, offering credit monitoring via Experian.

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Incident timeline — partial

? — ?

Breach window unknown

Aug 29, 2014

Filed

—

No filing yet · watching

Compliance clocks stay unassessable until a regulatory filing lands. Dashed segments fill in automatically when corroboration arrives.

Tracked as a single-filing incident — the only disclosure on record for this event so far.Confirmed3 affectedView incident

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

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

Discovered: —
Materiality determined: —
Notification sent: Sep 2, 2014
Affected individuals: 3state-resident count only
Data types: Identity (basic)Financial account
Attack vector: Third-Party / Supply Chain
MITRE ATT&CK: T1119 Automated Collection
Threat actor: Partner
Regulator citations: Notified New Hampshire Attorney General

During the incident: Conducted an internal investigation
Identified those clients whose personal information may have been accessed
Generated a customer notification mailing list
Retained Experian, a leading global provider of consumer and corporate identity risk management services
Prepared guidance for call center representatives
Drafted a communication to affected individuals
Sent notification by first-class mail
Changes made: Offered Experian’s ProtectMyIDTM Elite and Family Secure credit monitoring and identity theft protection service
Source: Quoted from the filing itself, not independently verified.

Compliance flags: — (clock not assessable for this source)

Status: No extraction artifact recorded for this disclosure.

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/lpl-financial-20140829.pdf
DisclosureLens links to the originating regulator URL — full filing bodies are not redistributed from public surfaces (§4.5).
Filed at: Aug 29, 2014
Raw hash: c8a320e8e7a1b2ee3b9d52d661da0b156981540ce38bb45c7d281dc58f1351e0

Reporting entityLPL FINANCIAL LLC

Victim entityLPL FINANCIAL LLC

IncidentThird-Party / Supply Chain

Stated responseConducted an internal investigation

Complianceclock not assessable

Extraction provenanceno artifact recorded

Source provenancemm.nh.gov