Securities Broker-Dealer Investment Fraud Programs

Allegations and claims of investment fraud owing to securities transactions involving commercial real estate investment securities (typically via a Direct Participation Program – or DPP) can now be proactively addressed with the INVIZEN suite of broker-dealer buy-side support services and broker-dealer sell-side support services that are part of the INVIZEN end-to-end solution for addressing and eliminating CRE loan and investment loss severity risk over the entire term of the investment holding period.

Default underwriting process pic

The key to the operations of INVIZEN is its real-time operating capacity that allows INVIZEN to proactively manage the default risk, term risk and maturity risk exposure that conspire to create loan and investment loss severity risk (and thereby eliminate the broker-dealer’s exposure to allegations and claims of investment fraud as a by-product that can only be said to be a force for change with regards to broker-dealer professional liability insurance costs).

INVIZEN Broker-Dealer Investment Fraud Claims Loss Risk Management & Prevention Program Operations

This revolutionary technology and proprietary analytics program was specifically designed to help reduce the broker-dealer’s risk exposure to allegations of investment fraud while at the same time providing the broker-dealer with the opportunity to increase sales, increase profit margins, reduce time to market on sell-side transactions, and create a whole new level of competitiveness to help the broker-dealer obtain still more buy-side placement agency agreements with sponsors and issuers of securities in DPPs and other private placement offerings in the CRE vertical.

Best of all, INVIZEN is very affordable.  For qualifying broker-dealers, INVIZEN offers a cost-free program alternative that provides the due diligence support needed to comply with FINRA Rule 2310 and FINRA Regulatory Notice 10-22 while also providing all of the other key benefits.  This is a limited time offer so find out more about what INVIZEN will do for your business by calling us today at 832.663.9634.