Violation Tracker Parent Company Summary

Parent Company Name: 
Northern Trust
Ownership Structure: 
publicly traded (ticker symbol NTRS)
Headquartered in: 
Major Industry: 
financial services
Specific Industry: 
Penalty total since 2000: 
Number of records: 
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
employment-related offenses$73,500,0002
financial offenses$1,370,6565
Top 5 Primary Offense TypesPenalty TotalNumber of Records
benefit plan administrator violation$73,500,0002
investor protection violation$1,227,6293
banking violation$125,0001
economic sanction violation$18,0271

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.


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.
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
Company Primary Offense Type Year Agency Penalty Amountsort icon
Northern Trust benefit plan administrator violation 2006 private lawsuit-federal $37,500,000
Northern Trust Investments, N.A. benefit plan administrator violation 2015 private lawsuit-federal $36,000,000
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, National Association banking violation 2008 OCC $125,000
The Northern Trust Company investor protection violation 2015 SEC $60,000
Northern Trust, IBC economic sanction violation 2003 OFAC $18,027
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)