Last Updated: September 2025 — Freehold, NJ
Here’s what you need to know about Freehold, NJ stockbroker William Grundig:
- Name: William Andrew Grundig
- Current Employer: Kestra Investment Services, LLC (broker); Kestra Advisory Services, LLC (investment adviser) — branch at 303 W. Main St, Freehold, NJ 07728
- Prior Firms: Commonwealth Financial Network (2016–2025); Securities America, Inc. (2008–2016); Securities America Advisors, Inc. (2008–2016); Multi-Financial Securities Corporation (2005–2008); J.P. Turner & Company, L.L.C. (2002–2005); Global Capital Securities Corporation (2001–2002); Global Capital Markets, LLC (1996–2001); Stratton Oakmont, Inc. (1995–1996)
- Other Business Affiliations: Dynasty Advisors LLC (Owner); (IAR with Kestra Advisory Services
- CRD number: 2589507
- Stockbroker / Financial Advisor. Registered with 1 SRO; licensed in 15 U.S. states/territories. Passed SIE (10/01/2018), Series 7 (06/13/1995), Series 63 (06/21/1995), Series 66 (03/22/2007).
- Can Broker be Sued in FINRA: Yes
- Highest Award or Settlement: $35,000
- Current Customer Dispute Seeks Total Damages of: Damage amount not yet specified
If you’ve sustained damages from Mr. Grundig, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With William A. Grundig As Your Stockbroker?
- Pending FINRA Arbitration (Freehold, NJ): In July 2025 a customer of Commonwealth Financial Network filed a FINRA arbitration (Case No. 25-01455) alleging that certain stocks in her portfolio were unsuitable . The filing lists no specific dollar amount yet. Status: Pending.
- Prior Customer Disputes by customers of The J.B. Sutton Group (Settled):
- NASD Case No. 97-04353 (settled1998): Allegations included unauthorized trading, breach of fiduciary duty, and account-related breach of contract . The matter settled for $35,000.
- NASD Arbitration No. 99-05196 (settled 04/2001): Customer alleged unsuitability in OTC equities while at The J.B. Sutton Group, LLC. The case settled for $20,000.
Allegations of Broker Misconduct Against William A. Grundig
- Unsuitability
- Unauthorized Trading Relevant rules: FINRA Rule 3260 (Discretionary Accounts) and FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade).
- Breach of Fiduciary Duty
- Breach of Contract Relevant authority: common-law fiduciary obligations; FINRA Rule 2010 often cited alongside such claims.
Other Cases Involving Unauthorized Trading
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by William Andrew Grundig, 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.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.