Everything You Wanted to Know about Helane Morrison and SEC

She is currently the managing director, chief compliance officer, general counsel, principal and a member of the board at Hall Capital Partners LLC. Helane has been an employee of Securities and Exchange Commission (SEC) from August 1999 to October 2007. She served in the position of regional director and was responsible for all litigation, regulatory and security enforcement matters in Northern California and other northern states.

 

Before that, she was leading the enforcement department for the San Francisco SEC office from mid-1996. Her duties were representing SEC in financial communities and economic communities together with news media and government agencies. Before she joined SEC, Ms. Morrison was a lawyer at San Francisco law firm from 1986 to 1996. Here, she was named partner in 1991. The accomplishment shows how she shined in every department she worked in at the law firm. While working at the law firm, her focus was litigation and defense of private assets actions and SEC matters. However, there are periods where she tried different cases.

 

Helane Morrison accomplishments at SEC

 

According to SEC Chairman Christopher Cox; Helane has been a great leader while serving at the San Francisco office. She made the chamber become a household name in the Pacific Northwest and northern California. Through her leadership, the office doubled in size and became more than a regional office. She has had actions that have had an enormous impact on investors and the company’s market. She served with passion dedication and integrity.

 

Helane always emphasized on excellence throughout her career. She is creative, diligent, which makes her an inspiring figure to many individuals.

Speaking about the experience of working at SEC. Ms. Morrison said she was honored to have worked at the company and getting a chance to protect investors. She also said working with the talented and dedicated workers in the enterprise is a big pleasure.

 

Some of the notable enforcement actions that the San Francisco office brought under Ms. Morrison leadership

 

  • Stock options backdating cases

 

 

  • Cases against auditors, investment advisors, and mutual funds

 

  • Cases involving brokerage firms, insurance companies, and other numerous cases

 

In conclusion, Ms. Morrison has been a great leader for SEC and has flourished in every position that she held. She dedicated her career to protecting investors from manipulation by fraudsters in the financial sector.

 

Leave a Reply

Your email address will not be published. Required fields are marked *