20 Apr

Morrison is a SEC Compliance Officer

Helane Morrison is an American lawyer, entrepreneur and the former United States Securities Commission and Exchange regional director. She also worked as the Hall Capital Partners LLC chief compliance officer and general counselor.


Helane Morrison Education


Born in New York Brooklyn, she studied at the Journalism Northwestern University. She later went on to the Berkeley California School Law University where she became the California Law Review and editor-in-chief. At Berkeley, she earned a Juris Doctor and was later inducted into the California State Bar.


Helane Morrison commenced her law career by working as the Richard clerk of the United States Seventh Circuit Posner Appeal Court. She also went on to serve as the United States Harry Blackmun Supreme Court law clerk. She also went on to serve at the San Francisco Rabkin, Falk, Rice, Nemerovski Canady and Howard law firm. She even became an affiliate partner at this firm.


During the transformation of the San Francisco District Office into the San Francisco Regional Office, Morrison joined SEC and was made the leader of its regional enforcement activities. A few years later, she was promoted into as the office head and was in charge of the regional director and district administrative posts. She was responsible for jurisdiction enforcement and overseeing of examination programs in Oregon, Idaho, Montana, Northern Nevada, Alaska, Washington and Northern California.


During his work tenure in San Francisco, Morrison was responsible for many sophisticated fraud legal cases involving NextCard and McKesson HBOC. These case involved investment advisory violations, senior citizen and broker defrauding, and alleged insider trading. She went on to Hall Capital Partners LLC where she currently serves as the executive committee member, chief compliance officer as well as the managing director. His company Hall Capital builds class multi-asset investment portfolios for global endowments, foundations, and families.


Helane Morrison Career at the SEC


The federal government established the SEC (United States Securities and Exchange Commission), and its responsibility is to regulate securities industry, implement federal securities laws, as well as regulate all the other United States electronic securities markets.


The agency was established through the 1934 American Exchange Securities Act and is also responsible for implementing the 1933 Securities Act, 1939 Trust Indenture Act, 1940 Investment Company Act, 1940 Investment Advisers Act, and 2002 Sarbanes–Oxley Act among other laws. Helane Morrison’s creativity, enthusiasm, and diligence is a thing that most lawyers are amazed by and wish to replicate.