Haselkorn & Thibaut (investmentfraudlawyers.com), a national law firm with a 98% success rate and millions recovered for investors, is currently investigating Sandeep Shrivastava and TPEG Securities (Trinity Investors) in Southlake, Texas. Investors with concerns about their accounts are encouraged to call 1-888-994-8066 for a free consultation—no recovery, no fee.
Who Is Sandeep Shrivastava?
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Sandeep Shrivastava is a financial advisor based in Southlake, Texas, and is registered as a broker with TPEG Securities, also known as Trinity Investors. With more than 15 years of securities industry experience, Shrivastava has focused his practice on alternative investment strategies. He holds a Senior Strategic Partner role at Trinity Investors, and his prior professional background includes leadership positions at General Mills, Booz & Company, and AT&T.
Professional Qualifications
- Registered with TPEG Securities (Trinity Investors) since 2015
- CRD #: 5003823
- Has passed multiple key industry examinations, including:
- Securities Industry Essentials (SIE)
- Series 7 (General Securities Representative)
- Series 63 (Uniform Securities Agent State Law)
- Series 65 (Uniform Investment Adviser Law)
- Registered in 25 states
Complaints Reported Against Sandeep Shrivastava
Transparency is critical when evaluating any financial advisor, particularly where investor complaints have been raised. Below is a summary of known complaints disclosed through regulatory filings and industry databases:
| Date Filed | Allegation Summary | Status | Claimed Damages |
|---|---|---|---|
| September 2025 | Customer alleges that, while acting as a representative of Trinity Investors, Shrivastava misled and misinformed them about private placement investments, omitting material risks. | Pending | $200,000 |
| February 2025 | Customer claims Shrivastava recommended investments that were not properly balanced or secure, resulting in both realized and unrealized losses. | Pending | $620,699 |
As of November 2025, both complaints remain pending and are under regulatory and legal review.
Advisor Background and Trinity Investors Overview
Trinity Investors describes its mission as enabling wealth creation by “identifying, structuring, and capitalizing alternative investments.” The firm caters to investors seeking returns beyond traditional stocks and bonds. While alternative investments can play a role in a diversified portfolio, they often involve greater risk, reduced liquidity, and added complexity. This makes full risk disclosure and suitability analysis essential responsibilities for any financial advisor recommending them.
Sandeep Shrivastava has been with Trinity Investors for over a decade, serving in key roles in strategic planning and business development. As a Senior Strategic Partner, he is involved in guiding clients through a range of investment options, with an emphasis on long‑term financial growth.
How to Check an Advisor’s Regulatory History
Investors who wish to independently review a financial advisor’s background can take the following steps:
- Visit FINRA BrokerCheck and search using the advisor’s full name or CRD number (5003823).
- Carefully review the Disclosures section, including:
- Customer complaints (dates, amounts, and current status)
- Regulatory or disciplinary actions
- Civil litigation disclosures
- State-by-state licensing details
- For additional information, consult:
- The SEC’s Investment Adviser Public Disclosure (IAPD) website
- Your state securities regulator’s public databases
These resources can help you understand an advisor’s history and whether any patterns of complaints or regulatory issues exist.
Red Flags and Due Diligence for Investors
Every investor should remain vigilant for signs of potentially unsuitable or high‑risk investment practices. Common red flags include:
- Omission of Risks: Risks associated with an investment are not clearly documented, fully explained, or emphasized.
- Promises of High or “Guaranteed” Returns: Be wary of any guarantee of performance, especially in alternative or private placement investments.
- Repeated or Unbalanced Recommendations: Clients are steered into highly concentrated, illiquid, or speculative strategies that do not match their risk tolerance or objectives.
- Pending Legal or Regulatory Actions: Multiple complaints or significant damage claims that remain unresolved.
Clear communication, complete transparency, and alignment with each client’s risk tolerance are fundamental obligations in every advisor–client relationship.
What Should You Do If You Have Concerns or Suspect Losses?
If you invested with Sandeep Shrivastava, TPEG Securities, or Trinity Investors and have concerns about your account, or if any of the red flags above sound familiar, it is important to act promptly. Federal and state regulators—as well as experienced securities counsel—can help you understand your rights and assess potential recovery options.
Haselkorn & Thibaut is actively investigating complaints and claims involving Sandeep Shrivastava. The firm offers:
- Over 50 years of combined experience
- A 98% success rate
- A no recovery, no fee policy
Call 1-888-994-8066 to schedule a free and confidential consultation with a securities fraud attorney focused on protecting investors.
Summary for Investors
- Sandeep Shrivastava is a multi‑state registered financial advisor in Texas with TPEG Securities (Trinity Investors).
- There are currently two pending investor complaints alleging misleading conduct, omission of risk, and unsuitable investment recommendations, with claimed damages totaling more than $800,000.
- Due diligence is essential: review disclosure records, monitor for red flags, and verify that any recommended strategy fits your objectives and risk tolerance.
- Haselkorn & Thibaut offers free consultations to help investors evaluate their situation and explore options for potential recovery.
Protect your financial future. If you are a current or former client of Sandeep Shrivastava or Trinity Investors and have questions or concerns, call Haselkorn & Thibaut today at 1-888-994-8066. A confidential consultation may be an important first step toward clarity and peace of mind.
