NORTHERN TRUST INVESTMENTS, INCORPORATED of CHICAGO, IL is an SEC-registered investment adviser (CRD 105780). Regulatory assets under management: $1.2T. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed, Performance, Other.
Clients served: High net worth, Pooled vehicles, Charities, Corporations, Investment cos, Other.
Showing 25 of 72 people.
| Name | Role | Location |
|---|---|---|
| Craig Richard Carberry | CHIEF LEGAL OFFICER/SECRETARY | Chicago, IL |
| Sheri Barker Hawkins | EXECUTIVE VICE PRESIDENT/DIRECTOR | — |
| Maya Georgieva Teufel | SENIOR VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | — |
| Archana Kumar | EXECUTIVE VICE PRESIDENT/CHIEF OPERATING OFFICER/DIRECTOR | — |
| Stephen Elliott Carroll | SENIOR VICE PRESIDENT/CHIEF FINANCIAL OFFICER/TREASURER | — |
| Joseph Wallace Mcinerney | SENIOR VICE PRESIDENT/CHIEF RISK OFFICER | — |
| Paulami Kar | EXECUTIVE VICE PRESIDENT/DIRECTOR; SENIOR VICE PRESIDENT/DIRECTOR | — |
| Christian Gordon Roth | EXECUTIVE VICE PRESIDENT/CO-CHIEF INVESTMENT OFFICER | — |
| Kapinder Diwan | SENIOR VICE PRESIDENT/BUSINESS UNIT CHIEF INFORMATION SECURITY OFFICER | — |
| Sunitha Cherian Thomas | SENIOR VICE PRESIDENT/HEAD OF WEALTH & INTERMEDIARY CLIENT GROUP/DIRECTOR | — |
| Anwiti Bahuguna | EXECUTIVE VICE PRESIDENT/CO-CHIEF INVESTMENT OFFICER | — |
| Michael Ryan Hunstad | CHAIRMEN/PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | — |
| Lyenda Simpson Delp | EXECUTIVE VICE PRESIDENT/DIRECTOR | — |
| Kaushal Harshad Joshi | SENIOR VICE PRESIDENT/CHIEF INFORMATION OFFICER | — |
| Angelo George Manioudakis | EXECUTIVE VICE PRESIDENT/CHIEF INVESTMENT OFFICER/DIRECTOR | — |
| Daniel Ernesto Gamba | CHAIRMAN/PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | — |
| WENNLUND LLOYD ARNO | DIRECTOR; EXECUTIVE VICE PRESIDENT/DIRECTOR | — |
| TOTH TERENCE JOHN | CHAIRMAN/DIRECTOR; DIRECTOR; DIRECTOR/CHAIRMAN | — |
| MANIOUDAKIS ANGELO GEORGE | EXECUTIVE VICE PRESIDENT/CHIEF INVESTMENT OFFICER/DIRECTOR | — |
| BROWNE DALE ROBERT | EXECUTIVE VICE PRESIDENT / CHIEF INVESTMENT OFFICER / DIRECTOR | — |
| PECORA ANTHONY P | SENIOR VICE PRESIDENT/ CHIEF COMPLIANCE OFFICER | — |
| HUFFMAN WILLIAM T | DIRECTOR | — |
| DUDLEY ORIE LESLIE | CHIEF INVESTMENT OFFICER/ DIRECTOR; EXECUTIVE VICE PRESIDENT/CHIEF INVESTMENT OFFICER/ DIRECTOR | — |
| POTTER STEPHEN N | DIRECTOR; PRESIDENT; PRESIDENT & CHIEF EXECUTIVE OFFICER / DIRECTOR | — |
| WADDELL FREDERICK H | DIRECTOR; PRESIDENT | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-04-02 | regulatory | WITHOUT ADMITTING OR DENYING ANY VIOLATION OF THE RELEVANT SHORT SALE RESTRICTIONS PROVISIONS OF THE KOREAN FINANCIAL INVESTMENT SERVICES AND CAPITAL MARKETS ACT, THE NORTHERN TRUST COMPANY OF HONG KONG LIMITED ("TNTCHK") WAS ISSUED WITH A PENALTY OF KRW 141,700,000 (APPROXIMATELY USD 100,000) ON OC… | Final | $100K |
| 2022-12-01 | regulatory | THE AUSTRALIAN SECURITIES & INVESTMENTS COMMISSION ALLEGED THAT CERTAIN DISCLOSURES INCLUDED IN PRODUCT DISCLOSURE STATEMENTS FOR THE NT WORLD GREEN INDEX FUND (THE "FUND") CONTAINED STATEMENTS THAT COULD MISLEAD THE PUBLIC AS TO THE NATURE OR CHARACTERISTICS OF THE FUND. | Final | $20K |
| 2022-05-03 | regulatory | WITHOUT ADMITTING OR DENYING ANY VIOLATION OF THE SHORT SALE RESTRICTION PROVISIONS OF THE KOREAN FINANCIAL INVESTMENT SERVICES AND CAPITAL MARKETS ACT, NORTHERN TRUST INVESTMENTS, INC., AGREED ON NOVEMBER 10, 2022, TO A KOREA FINANCIAL SERVICES COMMISSION ADMINISTRATIVE FINE OF KRW 54,000,000 (APPR… | Final | $41K |
| 2019-09-30 | regulatory | THE NORTHERN TRUST COMPANY ("NORTHERN TRUST"), ACTING IN ITS CAPACITY AS A SWAP DEALER, WAS ORDERED TO PAY A $999,000 FINE BY THE NATIONAL FUTURES ASSOCIATION ("NFA"). THE DECISION BY THE NFA'S BUSINESS CONDUCT COMMITTEE ("BCC") WAS BASED ON A COMPLAINT AND A SETTLEMENT OFFER SUBMITTED BY NORTHERN T… | Final | $999K |
| 2019-09-30 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS OR CONCLUSIONS OF THE COMMODITY FUTURES TRADING COMMISSION ("CFTC"), THE NORTHERN TRUST COMPANY ("TNTC") CONSENTED TO ENTRY OF AN ORDER ISSUED ON SEPTEMBER 30, 2019 FINDING THAT FROM 2013 THROUGH AT LEAST 2018 TNTC FAILED TO REPORT CERTAIN SWAPS TO A SWAP DA… | Final | $1.0M |
| 2015-06-18 | regulatory | ON JUNE 18, 2015, THE SECURITIES AND EXCHANGE COMMISSION (SEC) BROUGHT ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS AGAINST 36 MUNICIPAL SECURITIES DEALERS, INCLUDING THE NORTHERN TRUST COMPANY (NORTHERN TRUST), IN WHICH THE SEC ALLEGED THAT THE MUNICIPAL SECURITIES DEALERS CONDUCTED INADEQUATE D… | Final | $60K |