HackingFinancial ServicesFinanceData MishandlingSupply Chain (3P Vendor)Customer Data InvolvedPIIIdentity (basic)MediumContained

LPL FINANCIAL LLC

bd_e5caf5bf46247a54 · schema v1 · pii pii-v1

Severity

Medium

Discovered

—

Filed

Jan 23, 2019

To disclose

—

Affected · nationwide

2,5359 in this filing

Linked

9 filings

Confidence

65%

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

Supplemental notice from LPL Financial LLC regarding a data security incident at third-party provider Capital Forensics, Inc. Initial notification covered 2,526 NH residents; this supplemental notice covers 9 additional NH residents. Notifications mailed Jan 17, 2019. Credit monitoring provided.

J jump to incidentP pin to compareR raw source

Incident timeline — partial

? — ?

Breach window unknown

Jan 23, 2019

Filed

—

Corroborated · see linked filings

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

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

Montana State AGbd_e84a40ef8b955b812019-01-17 · +6dVerified
New Hampshire State AGbd_035fe324c7a65d902018-11-30 · +54dVerified
New Hampshire State AGbd_16b6cb0b51a24a252018-11-19 · +65dVerified
South Carolina State AGbd_78490b8402d50ca72018-11-19 · +65dVerified

Show 4 more filings ↓up to 68d gap

Oregon State AGbd_0b991770e333c0872018-11-17 · +67dVerified
California State AGbd_3497087925c6a5a22018-11-17 · +67dVerified
Massachusetts State AGbd_63c74960da51c65e2018-11-16 · +68dVerified
Washington State AGbd_66ea226045eb8d612018-11-16 · +68dCandidate

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: Jan 17, 2019
Affected individuals: 2,535state + nationwide
Data types: PIIIdentity (basic)
Attack vector: Third-Party / Supply Chain
MITRE ATT&CK: T1195 Supply Chain Compromise
Regulator citations: Provided supplemental incident notification to the Bureau of Securities Regulation, Department of State, New Hampshire
Third party: via Capital Forensics, Inc.
Initial access: supply_chain

During the incident: Began mailing notification letters to affected individuals
Arranged for individuals to receive two years of complimentary credit monitoring and identity protection services from AllClear ID
Established a dedicated call center that individuals can call with questions
Worked with a mailing vendor to process additional notification lists
Worked to obtain updated address information and/or correct address information for undeliverable letters
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.

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

New Hampshire State AG+14d

Montana State AG+62d

New Hampshire State AG+68d · this page

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://mm.nh.gov/files/uploads/doj/remote-docs/lpl-financial-20190123.pdf
DisclosureLens links to the originating regulator URL — full filing bodies are not redistributed from public surfaces (§4.5).
Filed at: Jan 23, 2019
Raw hash: 8936ee7c7b2c9f63e14c79f8813f56a4817a3fccb32a8c87bf17e296a249efab

Linked disclosures

Regulatory filings (8) · sorted by filing gap

Reporting entityLPL FINANCIAL LLC

Victim entityLPL FINANCIAL LLC

IncidentThird-Party / Supply Chain

Stated responseBegan mailing notification letters to affected individuals

Complianceclock not assessable

Extraction provenanceno artifact recorded

Source provenancemm.nh.gov