By Andy Green, Andrew Schwartz, and Gregg Gelzinis
“The movie image is iconic: The Wall Street wrongdoer, whose fraud was uncovered by the U.S. Securities and Exchange Commission, or SEC, is hauled off to face the music. Despite being only a civil enforcement agency, the SEC has a special place in the minds of the American public as the cop on the Wall Street beat. Although numbers are not everything, in fiscal year 2016, the SEC took 868 enforcement actions against companies and individuals resulting in more than $4 billion in penalties and forfeited profits.”…
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