Erez Law is interested in speaking with investors who may have suffered losses due to investments with TFS Securities, Inc. broker Sarabjeet Thapar (CRD# 2699306) regarding corporate debt. He has been registered with TFS Securities, Inc. in Lincroft, New Jersey since 2017. Previously, he was registered with the following firms:
- Questar Asset Management, Inc. in West Orange, New Jersey from 2014 to 2016
- Questar Capital Corporation in West Orange, New Jersey from 2014 to 2016
- Hornor, Townsend & Kent, Inc. in Edison, New Jersey from February to June 2014
- Hornor, Townsend & Kent, Inc. in Edison, New Jersey from 2013 to 2014
- AXA Advisors, LLC in West Orange, New Jersey from 2002 to 2014
He was terminated from Questar Capital Corporation regarding “the registrant altered a customer account document after the document had been signed by the customer.”
He was also terminated from Hornor, Townsend & Kent, Inc. regarding “selling an unapproved insurance product.”
Sarabjeet Thapar Customer Complaints
He has been the subject of two customer complaints in 2022, according to his CRD report:
August 2022. “Clients allege negligence, breach of contract, breach of fiduciary duty, unjust enrichment.” The case is currently pending. The case was regarding corporate debt and took place while he was registered with TFS Securities, Inc.
July 2022. “Client alleges unsuitable and misleading recommendation.” The customer is seeking $125,000 in damages and the case is currently pending. The case was regarding corporate debt and took place while he was registered with TFS Securities, Inc.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, TFS Securities, Inc. may be liable for investment or other losses suffered by Sarabjeet Thapar’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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