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Violation Tracker Current Parent Company Summary

Current Parent Company Name: Northern Trust
Ownership Structure: publicly traded (ticker symbol NTRS)
Headquartered in: Illinois
Major Industry: financial services
Specific Industry: banking
Penalty total since 2000$75,470,656
Number of records: 8
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
employment-related offenses$73,500,0002
financial offenses$1,970,6566
Top 5 Primary Offense TypesPenalty TotalNumber of Records
benefit plan administrator violation$73,500,0002
investor protection violation$1,827,6294
banking violation$125,0001
economic sanction violation$18,0271
Notes: Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the Update Log, which may vary from what was the case when a violation occurred. The penalty totals are adjusted to account for the fact that the individual entries below may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. The totals are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the list below.

Links: Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.

Individual Penalty Records:

Click on the company or penalty amount for more information on each case.

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CompanyPrimary Offense TypeYearAgencyPenalty Amount sort icon .
Northern Trustbenefit plan administrator violation2006private lawsuit-federal$37,500,000
Northern Trust Investments, N.A.benefit plan administrator violation2015private lawsuit-federal$36,000,000
Northern Trust Companyinvestor protection violation2019CFTC$1,000,000
Northern Trust Securitiesinvestor protection violation2011FINRA$600,000
Northern Trust Hedge Fund Services LLCinvestor protection violation2020SEC$167,629
Northern Trust, National Associationbanking violation2008OCC$125,000
The Northern Trust Companyinvestor protection violation2015SEC$60,000
Northern Trust, IBCeconomic sanction violation2003OFAC$18,027
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.