Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers, has formally opened an investigation into recent investor complaints and regulatory scrutiny involving Sandeep Shrivastava (CRD #5003823), a registered broker with TPEG Securities LLC. As experienced securities attorneys with a former Wall Street defense background, our firm is committed to helping investors in situations involving potential broker misconduct. If you invested with Mr. Shrivastava in Texas or elsewhere and have concerns about your accounts, you are not alone—keep reading to understand your rights and options.
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Why Haselkorn & Thibaut Is Investigating Sandeep Shrivastava (CRD #5003823) of TPEG Securities LLC
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Sandeep Shrivastava’s status as a registered broker with TPEG Securities LLC has recently become the focus of investor concern following the appearance of multiple customer dispute disclosures on his FINRA BrokerCheck report. These disputes allege serious misconduct related to misleading statements, unsuitable recommendations, and a potential breach of industry best practices. As investor advocates with insider experience, we understand the weight of these allegations and their potential impact on individual investors’ financial health.
Customer Dispute Summary: The Red Flags
| Date | Nature of Complaint | Products Involved | Alleged Damages | Advisor's Response | Status |
|---|---|---|---|---|---|
| October 13, 2025 | Alleged misleading statements led customer into several investments | DPP and LP Interests | $1,250,000 | Denied claims, asserted proper disclosures completed; states it is linked to earlier (Feb. 2025) complaint | Pending |
| September 6, 2025 | Alleged misleading statements about investment risks, inadequate explanation of private placements | DPP and LP Interests (via TPEG Securities LLC) | $200,000 | Denied claims, cited delivery of written materials, webinar, call, and quarterly updates | Pending |
| Undisclosed | Details not public—additional dispute remains open on BrokerCheck | Unknown | Not disclosed | Not disclosed | Pending |
What stands out are:
- Three separate, pending customer disputes—a critical warning sign for investors considering or currently working with Sandeep Shrivastava
- High aggregate alleged damages—claims totaling over $1.4 million associated with inappropriate investment recommendations
- Consistent themes: investors allege misleading communications and failure to adequately disclose risks or recommend investments suited to the client’s profile
Rule Violations Under Scrutiny: Know Your Rights
Securities industry rules provide important investor protections. Two notable FINRA rules apply to the disputes involving Sandeep Shrivastava of TPEG Securities LLC:
- FINRA Rule 2111 (Suitability): Brokers must recommend only those investments that fit each customer’s investment objectives, risk tolerance, financial situation, and experience level. Failed suitability can result in liability for client losses in risky or inappropriate products like Direct Participation Programs (DPPs) and Limited Partnership (LP) interests.
- FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade): Brokers must meet high ethical standards in all business dealings. Claims involving misleading statements may indicate a failure to meet this elevated standard.
In addition, Regulation Best Interest (Reg BI) raises the bar by requiring brokers to act in the best interest of retail clients during each recommendation—considering costs, conflicts, and ensuring clear disclosures. This higher standard was designed to increase accountability for brokers and further protect investors from conflicted advice and undisclosed risks.
Additional Public Background & Due Diligence—Why Pending Disputes Matter
As of our latest review, Sandeep Shrivastava is currently registered with TPEG Securities LLC. His background includes:
- Active registration at TPEG Securities LLC since 2019
- Prior association with XYZ Capital Partners (2015–2019)
- Successfully passed Series 7 and 63 exams
- No past FINRA disciplinary actions, suspensions, SEC orders, or bankruptcy issues prior to these new disputes
While the absence of past regulatory actions is relevant, the recent appearance of multiple, significant pending customer complaints fundamentally alters an investor’s risk calculus. Pending complaints—especially those involving allegations of misleading statements or unsuitable recommendations—demand extra scrutiny and often signal emerging patterns or future liability.
Investor Protections: What Should Concerned Investors Do Next?
- Carefully review your account statements, especially for private placement and alternative investment products
- Request written explanations for any investment strategies you do not understand
- Document all communication with your financial advisor, including recommendations, calls, emails, and account reviews
- Consider running your own BrokerCheck review for updates on disclosures (BrokerCheck)
- Do not ignore “pending” on regulatory records—these can signal real risk to investor funds
How Our Attorneys Can Help You Recover Losses
Our attorneys’ unique “former defense” perspective equips us to scrutinize brokers’ conduct from both the inside and outside—identifying issues that often go unnoticed by generalists. Our approach is thorough, aggressive, and client-focused. When you contact us for a free consultation, we will:
- Analyze your investments for red flags, misrepresentations, or unsuitable recommendations
- Rely on nearly a century of combined experience to determine your options for recovery
- Advise you on the most effective way to pursue your claims against brokers or firms—whether in FINRA arbitration or other forums
- Represent you with no fee unless we recover your losses
Get Your Free Investor Consultation Today
If you worked with Sandeep Shrivastava or invested through TPEG Securities LLC and suspect your account may have suffered due to unsuitable investments, misleading statements, or unexplained losses, protect your rights now. Our experience in holding financial professionals accountable is your greatest asset in pursuing recovery—don’t wait for additional losses to occur.
Call us now at 1-888-885-7162 for a complimentary, confidential consultation. Our firm stands ready to advocate for your financial recovery anywhere in the United States. Your first step toward recovering lost funds begins with a simple call.
