Securities Lawyers Blog
Our law firm represents individual and institutional investors that have been mistreated by their brokers and brokerage firms, such as Tpeg Securities, LLC. Many investors do not recognize broker misconduct in their accounts, and those that do are often hesitant to seek help. Broker misconduct spans many issues that violate industry rules, including unauthorized trading, breach of fiduciary duty, unsuitable asset allocation, and churning. The attorneys at Gana Weinstein LLP can analyze your accounts and investments to determine if there was misconduct in the handling of your account.
TPEG Securities, also known as Trinity Private Equity Group, is a FINRA member broker-dealer associated with the Trinity Investors organization. Formed in Texas in 2007 and registered as a broker-dealer in 2008, the individually owned firm is based in Southlake in the Dallas-Fort Worth area.
Tpeg Securities, LLC – By the Numbers:
- CRD #: 146726
- Regulatory Events: 3
- Broker Employees: 25
Tpeg Securities, LLC – In the News:
FINRA v. Tpeg Securities, LLC (Case #2021069391001) – Between September 2018 and May 2024, TPEG distributed certain communications with the public that included projected investment performance and violated FINRA Rules 2210(d) and 2010. During the same period, TPEG violated FINRA Rules 4530, 3110 and 2010, and Article V, Section 2(c) of FINRA’s By-Laws, by failing to report certain customer complaints and by failing to establish and maintain a supervisory system, including written supervisory procedures, reasonably designed to achieve compliance with its customer complaint reporting obligations. For these violations, TPEG is censured and fined $175,000.
FINRA v. Tpeg Securities, LLC (Case #2017053051001) – Between March 2016 and August 2018 (the “Relevant Period”), TPEG Securities failed to timely file certain offering documents with FINRA in 34 of its private placement offerings as required, in violation of FINRA Rules 5123 and 2010. Additionally, the Firm failed to establish and maintain a supervisory system, including written supervisory procedures, reasonably designed to achieve compliance with FINRA Rule 5123 because it did not designate any individual to be responsible for filing the required offering documents or monitoring to ensure the filings were timely made. The Firm’s written supervisory procedures (“WSPs”) also did not accurately describe or provide guidance regarding the date that triggered the filing requirement, in violation of FINRA Rules 3110 and 2010.
Gana Weinstein LLP has successfully litigated broker disputes through verdict or settlement. We represent both individuals and institutions throughout the country in FINRA arbitration, as well as commercial litigation in state and federal courts. Our consultations are both free and thorough and our securities litigation attorneys can help you uncover wrongful activity in your account.