Norman Harrison is a former investment banker, transactional attorney and hedge fund counsel/compliance officer. His business focuses on matters arising at the intersection of litigation, regulation, transactions, and the capital markets. Mr. Harrison manages multidisciplinary professional teams in matters involving internal fraud and compliance investigations and corporate governance/fiduciary duty issues, and he frequently supports independent compliance monitors under DOJ and SEC appointment. He also advises companies and provides expert testimony on financing, securities, and M&A transactional disputes.
Mr. Harrison has conducted numerous internal investigations in matters arising from federal investigations, shareholder allegations, and other circumstances. He also has substantial experience in risk management, operations, compliance issues, and dispute resolution involving private equity and hedge funds.
Mr. Harrison provides expert testimony on fiduciary duty and corporate governance issues arising in transactional disputes, shareholder derivative suits, other civil litigation, and criminal prosecutions. He has supported numerous Independent Compliance Monitors under appointment by the U.S. Department of Justice and U.S. Securities and Exchange Commission.
Before joining Secretariat, Mr. Harrison held senior positions at Kroll and FTI Consulting, and previously was a senior executive of Richard C. Breeden & Co., an advisory services firm specializing in corporate monitoring, internal investigations, and litigation and regulatory consulting. He was also counsel and Chief Compliance Officer of Breeden Capital Management, an SEC and FSA-registered hedge fund manager with over $1.5 billion in assets under management. He was a charter member of the Investor Advisory Group of the Public Company Accounting Oversight Board and has taught corporation law at the American University Washington College of Law.