Helane Morrison’s Efforts In Enforcing Compliance Within The Financial Sector

Many people in the United States believed that investigations undertaken in the financial sector were adequate to guarantee their investments. However, this belief quickly changed in 2008 as many investors lost chunks of money that they had invested in securities. The economic crisis exposed the numerous loopholes and malpractices existing in the financial industry. As a result, investors moved away from the industry and those who had invested in them, liquidated their shareholdings. Although it is eight years since the crisis happened, most people are still scared to invest in the financial market. Some investors are investing in alternative areas while others are just saving their hard-earned money instead of investing.

Helane Morrison has dedicated her career to fighting this negative stigma and improving the image of the financial industry through enforcing compliance. These efforts have already started recording positive results. Morrison is the chief compliance officer at Hall Capital Partners LLC, an advisory firm headquartered in San Francisco. Working for one of the largest advisory firms in San Francisco provides Morrison with the opportunity to rescue the public by ensuring accountability, integrity and regulatory compliance of transactions in the industry. This information was originally reported on Hackronym.

In my view, the financial sector is very lucky to have Morrison. She is an assertive, hard working and sharp individual whose moves have lead to positive results in the compliance field. At Hall Capital, she ensures that all investments made adhere to the set federal regulations. This situation has put lots of pressure on the firm’s team of professionals who are constantly on the lookout for any anomalies. Morrison does not only check for compliance but also presses criminal charges against all individuals that break the federal laws.

Morrison has a long history in enforcing compliance. She started her law career in 1986 when she joined Howard, Rice, Nemerovski, Canady, Falk & Rabkin LLC. Her hard work saw her being promoted to the position of a partner in 1991. She held this position until 1996 when she left the law firm. During her time at the firm, she was involved in internal corporate investigations, business litigation, SEC matters, and defense of private securities. Before joining the law firm, Morrison worked as a diligent law clerk for Harry A. Blackmun and Hon. Richard Posner. This information was originally mentioned on Hall Capital’s website.

In 1997, Morrison joined San Francisco’s SEC Office. At this office, she was the regional director, a position that gave her the opportunity to enforce regulatory compliance in six Northwest States. In addition, she dealt with fraud cases from large enterprises such as Next Card Inc, Hewlett-Packard, Google and HBO. Morison exposed a multi-million dollar fraud perpetrated by America Amicable, where the company sold false securities to at least 50,000 military personnel.

1 thought on “Helane Morrison’s Efforts In Enforcing Compliance Within The Financial Sector”

  1. What has been difficult in the industry is to be able to stop hacking in some ways because people will always find deviant means. I see assignment service making a difference in the cases because more persons will be involved and Morrison will be able to go one to make it happen.

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