What's Happening?
Sandeep Shrivastava, a financial advisor with TPEG Securities, is facing multiple investor complaints alleging misconduct. The most recent complaint, filed in September 2025, accuses Shrivastava of misleading
clients and omitting risks in private placement investments, with claimed damages of $200,000. An earlier complaint alleges unbalanced investment recommendations, resulting in losses of $620,699.
Why It's Important?
The complaints against Shrivastava highlight concerns about transparency and ethical practices in the financial advisory sector. If proven, these allegations could lead to significant financial penalties and damage to Shrivastava's reputation, affecting client trust and business operations. The case underscores the importance of compliance and ethical standards in maintaining investor confidence and protecting client interests.
