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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 Total | Number of Records |
| employment-related offenses | $73,500,000 | 2 |
| financial offenses | $1,970,656 | 6 |
| Top 5 Primary Offense Types | Penalty Total | Number of Records |
| benefit plan administrator violation | $73,500,000 | 2 |
| investor protection violation | $1,827,629 | 4 |
| banking violation | $125,000 | 1 |
| economic sanction violation | $18,027 | 1 |
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.
| Company | Primary Offense Type  | Year | Agency | Penalty Amount |
| The Northern Trust Company | investor protection violation | 2015 | SEC | $60,000 |
| Northern Trust Company | investor protection violation | 2019 | CFTC | $1,000,000 |
| Northern Trust Hedge Fund Services LLC | investor protection violation | 2020 | SEC | $167,629 |
| Northern Trust Securities | investor protection violation | 2011 | FINRA | $600,000 |
| Northern Trust, IBC | economic sanction violation | 2003 | OFAC | $18,027 |
| Northern Trust Investments, N.A. | benefit plan administrator violation | 2015 | private lawsuit-federal | $36,000,000 |
| Northern Trust | benefit plan administrator violation | 2006 | private lawsuit-federal | $37,500,000 |
| Northern Trust, National Association | banking violation | 2008 | OCC | $125,000 |
