Last Updated: November 2025 — Southlake, TX
Here’s what you need to know about Southlake, Texas stockbroker Sandeep Shrivastava:
- Name: Sandeep Shrivastava
- Current Employer: TPEG Securities, LLC (aka Trinity Private Equity Group & Trinity Investors) (CRD #146726), since January 7, 2015
- Prior Firms: None reported
- Other Business Affiliations:
- Trinity Private Equity Group — Consultant
- Magic USA — Due Diligence Consultant
- Wealth Mind Investments LLC — Due Diligence Consultant
- Shrivastava Family Holdings LLC — President
- Tenex Capital Management- Former Managing Partner
- CRD number: 5003823
- TPEG Address: 2102 E State Hwy 114, Suite 300, Southlake, TX
- Stockbroker / Financial Advisor: Actively registered with FINRA; licensed in 25 states
- Can Broker be Sued in FINRA: Yes
- Two Current Customer Disputes Seek Total Damages in excess of $800,000
If you’ve sustained damages from Mr. Shrivastava, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Sandeep Shrivastava as Your Stockbroker?
Shrivastava discloses two pending customer disputes. Both disputes involve private placement / DPP & LP investments.
September 2025
The customer alleges he was misled and misinformed about private placement investments and was not advised about the risks associated with the investments offered by TPEG Securities. The customer is seeking damages of $200,000
February 2025
The customer alleges that investments in his portfolio were not balanced and secure resulting in significant losses. Damages of $620,699 are sought in this pending matter.
Private Placements under Reg D: What is a Private Placement? According to the U.S. Securities and Exchange Commission (SEC):
“Under the federal securities laws, a company may not offer or sell securities unless the offering has been registered with the SEC or an exemption from registration is available. Offerings exempt from the SEC’s registration requirements pursuant to Securities Act Section 4(a)(2) or its safe harbor under Regulation D of the Securities Act are often referred to as private placements.”
The SEC warns that unregistered offerings may be utilized to conduct investment scams and that investors should have the ability to weather a total loss in these illiquid investments. See this SEC Investor Alert about red flags to watch out for in unregistered offerings.
Complex and illiquid private placements may be unsuitable for many investors. Claims of unsuitable recommendations typically relate to FINRA Rule 2111 (Suitability) and, Regulation Best Interest (Reg BI) .
Allegations of Broker Misconduct Against Sandeep Shrivastava
- Unsuitability
- Failure to Disclose Risks / Misrepresentation
- Improper Concentration-Large positions in private placements may constitute overconcentration
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Sandeep Shrivastava, a broker with Trinity Investors, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you
Nationwide Representation
Most cases are handled on a contingent fee basis, meaning that you do not pay legal fees unless we are successful.