Haselkorn & Thibaut, a national investment fraud law firm with a 98% success rate and more than 50 years of experience helping investors recover millions in losses, has opened a focused investigation into Sandeep Shrivastava (CRD #5003823) of TPEG Securities, LLC (Trinity Investors) in Southlake, Texas. If you worked with Sandeep Shrivastava or Trinity Private Equity Group and have experienced investment losses, you could be entitled to recover your damages through a no-cost, no-obligation review with Haselkorn & Thibaut. Call 1-888-994-8066 for a free, confidential consultation.
Who Is Sandeep Shrivastava?
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Sandeep Shrivastava is an actively registered financial advisor and broker at TPEG Securities, LLC (also known as Trinity Private Equity Group & Trinity Investors, CRD #146726) based in Southlake, TX. Since January 7, 2015, Mr. Shrivastava has held multiple related business roles, including:
- Consultant at Trinity Private Equity Group
- Due Diligence Consultant at Magic USA and Wealth Mind Investments LLC
- President at Shrivastava Family Holdings LLC
- Former Managing Partner at Tenex Capital Management
He is currently registered in 25 states and actively licensed with FINRA.
Customer Complaints and Disclosures: What Investors Should Know
When choosing a financial advisor, it’s essential to review their complete regulatory record and any customer complaints. Here’s a detailed, up-to-date look at all known complaints, regulatory findings, and disputes involving Sandeep Shrivastava:
| Year | Nature of Complaint | Alleged Damages | Status/Outcome |
|---|---|---|---|
| September 2025 (Pending) |
Customer alleges being misled and misinformed about private placement investments. Claimed risk non-disclosure. | $200,000 | Pending |
| February 2025 (Pending) |
Allegation that investments were not balanced or secure, resulting in substantial losses. Focus: portfolio allocation and suitability of recommendations. | $620,699 | Pending |
| October 2019 | Claim of unsuitable investment recommendations—concerns about appropriateness of product and risk profile. | $50,000 | Closed by customer, no payment by advisor |
| May 2021 | Claim of unauthorized trading—disputed trades made without client’s approval. | N/A | Informally settled, no payment |
Currently, there are two customer disputes against Mr. Shrivastava, both seeking a combined total of over $800,000 in damages. These relate to alleged issues surrounding private placements, portfolio concentration, and risk disclosure. Both are presently unresolved.
Understanding Private Placements: Risks and Investor Considerations
Private placement and Direct Participation Program (DPP) investments are complex, illiquid securities sold under Regulation D. The U.S. Securities and Exchange Commission (SEC) cautions investors that these products may:
- Be unsuitable for most investors due to limited liquidity and higher risk
- Carry the risk of complete loss
- Be involved in investment scams or fraud in some instances
Investors should receive clear and full disclosure of all risks, and products must fit their investment profile—otherwise, suitability issues may arise, governed by FINRA Rule 2111 and Regulation Best Interest (Reg BI).
Allegations of Broker Misconduct
Customer disputes and regulatory filings identify several recurring themes in complaints regarding Sandeep Shrivastava at TPEG Securities, including:
- Unsuitable Recommendations — Selling complex products to investors whose profiles, experience, or risk tolerance do not match
- Failure to Disclose Risks / Misrepresentation — Not informing or under-informing clients about the true level of risk, fees, or liquidity constraints
- Improper Concentration — Placing large portions of a portfolio in a single investment or asset class, which can amplify losses
It is important to note that as of the most recent available records, no SEC or FINRA disciplinary actions have been filed against Mr. Shrivastava. No civil or criminal actions have been located in public court dockets, and previously closed customer complaints have not resulted in any findings of wrongdoing or monetary awards.
What About TPEG Securities, LLC?
TPEG Securities, LLC (Trinity Investors, CRD 146726), Mr. Shrivastava’s broker-dealer, has maintained a clean regulatory record across the last ten years, with no major FINRA or SEC enforcement actions. In the last five years, the firm has resolved four customer arbitration disputes (none involving Mr. Shrivastava directly). Only one resulted in a small payment, with others closed without awards or findings of firm liability.
| Year | Complaint Type | Firm Response |
|---|---|---|
| 2018 | Margin-related dispute | Closed, no payment |
| 2019 | Suitability claim | Closed, no payment |
| 2020 | Fee dispute | Closed, $5,000 paid |
| 2022 | Unauthorized trading claim | Closed, no payment |
What Are Your Options If You’ve Lost Money?
If you have experienced unexpected losses or suspect mismanagement in investments recommended by Sandeep Shrivastava or TPEG Securities/Trinity Investors, you are not alone. Many investors are unaware they may be able to recover damages through FINRA arbitration—a process that allows investors to pursue compensation outside of the courts, often more quickly and at lower cost than traditional litigation.
Haselkorn & Thibaut—investor advocates with a 98% success rate and decades of experience—are offering complimentary consultations to review your individual situation. There is no recovery, no fee: you pay nothing unless they recover funds on your behalf.
To check the public regulatory record for Sandeep Shrivastava, you may use FINRA BrokerCheck, or for a more in-depth case review and confidential guidance, speak directly with a professional.
Take the Next Step: Free, Private Evaluation
If you have worked with Sandeep Shrivastava (TPEG Securities, Trinity Investors) in Southlake, Texas, and have concerns about investment recommendations, risk disclosures, or portfolio losses, it’s critical to get trusted, experienced advice as soon as possible.
Contact Haselkorn & Thibaut today at 1-888-994-8066 for your free, no-obligation case review. Discover your options, protect your rights, and empower your financial future.
