Women

Helane Morrison in enforcing compliance in the Corporate World

Helane Morrison is the Chief Compliance Officer of one of the largest advisory firm in San Francisco, Hall Capital Partners LLC and also a member of the company’s Executive Committee. Hall describes how people lost their trust in the financial industry due to the economic crash of 2008. People began to place their finances in their hands. After that phase, however, Hall has come to rescue the public through enforcing accountability, integrity and regulatory compliance on all dealings.

Morrison is one assertive, sharp, firm and hardworking lady who has created a great impression in the compliance field. Morrison insists that every investment they make for their client is solid and ethical. Hall’s team of professionals ensure that every brokerage firm, financial advisor or mutual fund advisors the firm chooses goes through thorough investigations before being trusted with clients’ money. Morrison has a team of enforcement staff. After an anomaly is suspected, the team enforces disciplinary action which will involve correction practices to pressing criminal charges.

Before joining Hall Capital in 2007, Morrison was heading (“SEC”) the San Francisco Office of the U.S. Securities and Exchange Commission from 1999-2007. Her work involved enforcement of securities, litigation matters, and regulatory compliance in Northern California and five Northwest States when she was the Regional Director. Morrison represented the SEC in legal issues, business relations and financial communities and government agencies. During her time in SEC, she dealt with fraud cases involving top executives from top companies like Google, Hewlett-Packard, NextCard Inc, and HBO. She also exposed the deceptive sale of false securities by the insurance company American Amicable to over 50,000 military personnel.

Before joining SEC, Helane practiced law at Howard, Rice, Nemerovski, Canady, Falk & Rabkin from 1986-1996 where she was promoted to be a partner in 1991. Her work involved business litigation, defense of private securities, internal corporate investigations, and SEC matters. Earlier she was a law clerk to Harry A. Blackmun and before this at Hon. Richard Posner of the U.S. Court of Appeals.

Ms. Morrison is a seasonal speaker on issues on compliance and legal matters arising from investment advisories. In Regional Parks Foundation, she is a member of the Board and to the American Bar Association, she is a member of the Board. Ms. Morrison

Completed her Bachelor’s Degree in Journalism at Northwestern University, Illinois. She then went on further studies at the University of California Berkeley School of Law.

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