Investors might have sustained losses due to securities broker Sandeep Shrivastava [CRD: 5003823, Southlake, Texas], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Shrivastava has worked for TPEG Securities LLC since January 7, 2015. See the following information to discover more about Shrivastava’s disclosures.
Evidently, on October 13, 2025, a TPEG Securities LLC client filed a complaint about Sandeep Shrivastava. Mainly, the client alleged that Shrivastava made misrepresentations by making materially false and misleading statements that led the client into several investments. For this reason, the client allegedly sustained damages connected to direct investments. Consequently, the client requested $1,250,000 in compensation from TPEG Securities LLC or Shrivastava.
Particularly, on September 6, 2025, a TPEG Securities LLC client filed a complaint about Sandeep Shrivastava. Primarily, the client alleged that Shrivastava made misrepresentations by misleading and misinforming the client regarding investments offered by TPEG Securities LLC and not making the client aware of the risks involved in private placements. Because of this, the client allegedly incurred damages linked to direct investments. As a result, the client requested $200,000 in compensation from TPEG Securities LLC or Shrivastava.
Also, a client of TPEG Securities LLC contested Sandeep Shrivastava’s sales practices, according to a complaint dated February 13, 2025. Allegedly, Shrivastava made unsuitable recommendations of investments that were not balanced and secure. It appears that Shrivastava allegedly caused the client to sustain damages associated with direct investments. Therefore, the client sought compensation from TPEG Securities LLC or Shrivastava in the amount of $620,699 in this matter.
Do you have concerns or questions regarding investments you made with Sandeep Shrivastava? Get in touch with Soreide Law Group at (888) 760-6552 or online and speak to a securities attorney concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States. Also, our securities attorneys represent investors on a contingency fee arrangement and advance all costs. Shrivastava and brokerage firms Shrivastava worked for deny accusations of sales practice violations.
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CONCORDE INVESTMENTS SERVICES, LLC, and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC (Respondents). The Claimants are in their late 70s, retired, and according to the lawsuit, were not looking to take any unnecessary risks with their retirement savings. The Claimants […]
THEODORE WILLIAM BYRER (THEODORE W BYRER, TED BYRER) was registered as a broker with MORGAN STANLEY of Indianapolis, Indiana, from 11/11/2013 - 04/20/2023. He was most recently registered with INTERNATIONAL ASSETS ADVISORY, INC of Westfield, Indiana, from 05/09/2023 - 09/17/2024. According to his BrokerCheck CRD report, dated 7/23/2026, THEODORE W BYRER was suspended for 14 […]
MARK LAWRENCE SULLIVAN (MARK SULLIVAN, MARK L SULLIVAN), formerly with UBS Wealth Management USA in New York City, was fined $10,000 and suspended for three months by the Financial Industry Regulatory Authority (FINRA) over allegations that he traded in customers’ accounts without the proper approval. Sullivan was previously registered both as a broker and as an […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com