Helane Morrison’s Push for Corporate Compliance

At Hall Capital Partners in San Francisco, Helane Morrison fights to restore the public’s faith in the financial sector and the companies that influence its behavior that ultimately affects everyone. As Chief Compliance Officer and part of the Executive Committee, Morrison has been working to repair the damaged image financial firms have tried to push against since the global recession of 2008. Her method for truly changing how this industry is seen is by making sure bad actors are held accountable when they should be.

Ethics are at the forefront of Morrison’s role as an advisor to many of the financial firms she works closely with. With a team of similarly motivated professionals, Morrison regularly carries out investigations to make sure that they have the integrity to be trusted with the money of their clients. This enforcement team of hers is adept at identifying key anomalies known for highlighting risky behavior common to reckless brokerage firms and financial advisors. When these breaches of regulations are detected disciplinary actions are enforced which can include criminal charges pressed against one or more perpetrators from any given firm.

About Helane Morrison:

After graduating from Northwestern University with a Bachelor’s Degree in Journalism, Helane Morrison went on to study law at the University of California Berkley School of Law. Her experience in that field began at the firm Howard, Rice, Nemerovski, Canady, Falk & Rabkin where she practiced law as an attorney until 1991 when she was promoted to partner. She remained with the firm until 1996, developing an understanding of business litigation and corporate investigations which made her an ideal candidate for reigning in reckless practices in the financial sector.

Morrison joined the Securities and Exchange Commission in 1999 and worked out of their San Francisco office. From there, she was responsible for investigating companies and firms operating in the financial sector and punish those guilty of regulatory violations as well as overseeing the litigation process and ensure that compliance is the norm moving forward. During her time with the SEC, Morrison’s role as Regional Director gave her a jurisdiction that covered most of Northern California along with five neighboring states in the northwest of the country. Some of her most notable cases include fraud investigations which implicated executives from Hewlett-Packard, NextCard Inc, Google, HBO, and American Amicable who were complicit in false security sales that took advantage of more than 50,000 military personnel.