NORTHERN TRUST CORP
NTRS
Financials
3
exclusion reasons
1 theme
NORTHERN TRUST CORP is screened out under 3 exclusion reasons spanning 1 issue category.
This page is part of our public exclusion list — a transparency tool that shows which companies we screen out and why. It is not investment advice, and it is not an accusation. It is a statement of values.
On March 11, 2020, Northern Trust Corporation agreed to pay $60 million to settle SEC charges for misleading disclosures and inadequate internal accounting controls related to its transition management business.
Northern Trust agreed to pay $29 million to settle an EEOC lawsuit alleging age discrimination against a class of older workers in its wealth management business.
On May 1, 2018, Northern Trust Corporation agreed to pay $60 million to settle SEC charges related to misleading statements and omissions in its fiduciary duty disclosures for certain mutual funds.
Research Sources
1 organization
Related Exclusions
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The Naughty List
A digest of changes to our exclusion list — new additions, removals, and the evidence behind them. We review the list continuously as new evidence surfaces.
Companies appear on our exclusion list based on our investment judgment — not because they've done anything illegal. This is a difference of values and opinion, not an accusation of wrongdoing. Exclusion does not constitute a recommendation against investing in any company, and absence from the list does not constitute a recommendation to invest.
This information is provided for educational and transparency purposes only and should not be relied upon as investment advice. Data is drawn from independent watchdogs, NGOs, government registries, and Ethical Capital's ongoing research — see Research Sources for the full list.
Ethical Capital LLC is a state-registered investment adviser in Utah (CRD #316032). Registration does not imply a certain level of skill or training.