Helane Morrison: the Office Administrator of Securities and Exchange Commission

Helane Morrison is the managing director, Chief Compliance Officer and General Counsel of Hall Capital Partners. She also sits on the Executive Committee of the firm.

 

Before joining Hall Capital, Morrison worked at the Securities and Exchange Commission between 1999 and 2007, where she headed the company’s San Francisco Office. As District Administrator and later as Regional Director, Helene was tasked with securities’ fraud litigation, law enforcement and regulatory cases in Northern California as well as five Northwest states.

 

Helane graduated from Northwestern University in Chicago with a bachelor’s degree in journalism and later earned her J.D. from Berkeley School of Law in California.

 

Helene’s Experience at SEC

 

After working at SEC as head of San Francisco District Office, Helane was later appointed as the office administrator. Her promotion was announced by the Secretary Chairman, Arthur Levitt. She is the first woman to be appointed as district’s chief and she will for sure continue with the office’s aggressive agenda.

 

Morrison will head both the examination and enforcement programs within the jurisdiction of the San Francisco office, including Oregon, Washington, Montana, Alaska, Northern California, Northern Nevada and Idaho.

 

Helane succeeds David Bayless who stepped down after working as the office administrator for five years.

 

Since joining the Securities and Exchange Commission in 1996, Helane was in charge of various major investigations, three of which led to enforcement actions against New York’s Republic Securities, Dean Witter as well as auditors of the California Micro Devices.

 

Before 1996, while still practicing law, Helane represented clients who had been sued by SEC. She represented the officers from the securities industry in SEC investigations and defended the firm’s clients in class-action lawsuits.

 

She also worked as an arbitrator defending stock brokerage companies and brokers in lawsuits brought by clients.

 

Helane is one of the few Securities and Exchange Commission’s female administrators. Valerie Caproni heads the Los Angeles’ Pacific Region; Mary Keefe is the director of the Midwest Region in Chicago, and Carmen Lawrence directs the Northeast area of New York City.

 

Under her leadership, the SEC San Francisco District Office has doubled its staff from 30 to 60, for the past five years.

 

The examination personnel review books and files of registered bodies like brokerage firms, investment advisors, and mutual funds. On the other hand, enforcement staff investigates and sues individuals who cheat investors.

 

One thought on “Helane Morrison: the Office Administrator of Securities and Exchange Commission

  1. Hall Capital is completely run by women, and it is among the most successful investment firms in California. She has been with the company since 2007. This is attributed to increased workload for both examination and enforcement teams. It is also a very good way for smartwritingservice discount to do a huge discount about what is going to happen to these ones too.

Comments are closed.