5 Broker Behaviors That Should Raise a Red Flag

The Financial Industry Regulatory Authority is warning investors to be wary of certain behaviors by their brokers that should raise a red flag — and could result in an enforcement action. While "most registered financial professionals are trustworthy individuals who act with integrity," FINRA states, "unfortunately, some are not." The broker-dealer self-regulator urges investors to use BrokerCheck to research any broker they're thinking of working with and to "keep an eye out for signs of misconduct." See the gallery for five questionable behaviors by brokers that should be warning signs to investors, according to FINRA.