Helane Morrison Became A Danger To Financial Crooks With The SEC

Helane Morrison was the former Regional Director with the SEC Pacific northwest division, based in San Francisco. Morrison is now the General Counsel and Chief Compliance Officer of a financial investment firm, Hall Capital Partners. But while she was with the SEC, Morrison helped file civil lawsuits and prosecute some major financial firms. The SEC had mostly gone after lesser-known entities and small cases, but under Morrison’s leadership even the big corporations could not hide securities violations and fraudulent activities. Morrison has spent much of her career fighting against fraud, but now she’s helping a big company uphold integrity.


Helane Morrison went into law originally, getting her undergrad from Northwestern University, and then completing her J.D. at the University of California at Berkley. Morrison became a clerk for the US Court of Appeals Seventh Circuit, where Richard Posner was judge at the time. She then moved to the US Supreme Court where she also clerked for Justice Harry Blackmun. Blackmun made an impact on Morrison in the manner he ruled on legal hearings, and Morrison decided to adopt his philosophy. Morrison decided to start her law career with Howard, Rice, Nemerovski, Canady, Falk & Rabkin law firm, and in a few years she became a partner.


Morrison became interested in financial law, having seen how some hedge fund managers and financiers were taking advantage of their clients. She helped litigate some difficult cases, but was always determined to see justice served. As she became more experienced in financial law and securities enforcement, the SEC decided to have her come work for them. She started out as head of the local enforcement division, became a District Administrator, and eventually the Regional Director. She served at the SEC for about 9 years, but decided it was time to make a good name in the financial industry.


Hall Capital Partners attracted Morrison largely due to the culture and ethics embodied at the firm. It also happens to be managed by two other female executives including CEO Kathryn Hall, and Managing Partner Sarah Stein. Not only has Morrison seen this as an opportunity to break glass ceilings, she also wanted to show that the public could still trust the investment firm to make sound investing decisions. Morrison is happy to bring her legal experience to making sure all transactions uphold the law.


Helane Morrison Is Putting Hall Capital In Order

There have been sizeable reports of attacks that target compliance officers in the recent past. While these officers simply have to accept the scrutiny as newer laws are made, they ought to distribute their services as per their own business acumen. Professional work ethics, similar to the number of these officers, have been increasing ever since, but they aren’t taming the increasing cases of corporate fraud and scams.

Going by the recent upsurge in such cases as the Volkswagen emissions-software scandal, a lot are at stake concerning what is expected of them. Their inefficiencies have severally been costly to their respective companies, some even costing a fortune. However, their role is hugely important in a firm.

A day in the life of a compliance officer is an interesting one as much of their time in office is spent monitoring the firm’s controls in a bid to mitigate any compliance risk. A compliance officer is that independent individual within an organization who overlooks all the company’s staff.

The employees including the board of directors and the management must follow all the laid down rules and meet the company’s standards of conduct for its smooth operation. In a nutshell, a compliance officer is crucial for communication in a firm and is the last formal conduit of communication especially when all the other avenues have been exhausted.

Helane Morrison

Helane Morrison is a notable figure in the world of a compliance officer. Besides being the managing director of Hall Capital Partners, she is their Compliance Officer as well as their lead counsel. Her stern look coupled with a lengthy experience in the niche has immensely helped her climb the ladder to where she is today. Before joining Hall Capital Partners in 2007, she was working in San Francisco, primarily representing the interest of the San Francisco Exchange and Security Commission. She joined SEC in 1999.

In her current role, Helane is a leader and a team player. In fact, she was a practicing lawyer before her current job, and she is highly knowledgeable in all that pertains her career.