The most common forms of broker misconduct

Investors deal with risk on a daily basis, navigating unpredictable market changes and other factors as they seek to ensure the health of their portfolios. However, additional risks can come in the form of unscrupulous financial advisors, who harm these investments either through direct action or negligence. Even though most brokers truly have your best interests in mind, a savvy investor must remain vigilant of possible misconduct. The Financial Industry Regulatory Authority (FINRA) tracks the most common kinds of misconduct that investors should watch out for.

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