Comprehensive Report: Jon James Toerner, Austin, TX — Stifel, Nicolaus & Company, Inc. (Formerly Fidelity)
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Haselkorn & Thibaut, a leading national investment fraud law firm with over 50 years of experience and a 98% success rate, has launched an investigation into Jon James Toerner (CRD #7330298), a financial advisor currently registered with Stifel, Nicolaus & Company, Incorporated in Austin, Texas. If you invested with Mr. Toerner at any time—whether at his current or prior firms, including Fidelity Brokerage Services LLC—it’s important to be aware of recent disclosures, regulatory red flags, and your rights as an investor.
Who is Jon James Toerner?
Jon James Toerner (sometimes listed as Jon James Preston Toerner) is a registered general securities representative currently operating from Stifel’s Austin branch at 805 Las Cimas Parkway, Suite 230. He holds the following FINRA registrations and licenses:
- Series 7 – General Securities Representative (since 07/2021)
- SIE – Securities Industry Essentials (since 03/2021)
- Series 66 – Uniform Combined State Law (since 07/2022)
- Series 63 – Uniform Securities Agent (since 11/2021)
He is currently registered with 11 self-regulatory organizations (SROs) and holds active licenses across 30 U.S. states and territories.
Employment History
| Firm | Dates |
|---|---|
| Stifel, Nicolaus & Co., Inc. | 09/2025 – Present |
| Fidelity Brokerage Services LLC | 12/2021 – 08/2025 |
| Fidelity Personal and Workplace Advisors | 08/2022 – 03/2025 |
| Strategic Advisers LLC | 03/2025 – 08/2025 |
| Thrivent Investment Management Inc. | 07/2021 – 10/2021 |
Red Flags and Disclosures: What You Need to Know
Investors should be mindful of several recent disclosures in Mr. Toerner’s regulatory record. According to public information, there are allegations and employer actions that warrant attention:
- Discharged by Fidelity Brokerage Services LLC (July 2025): Mr. Toerner was separated from Fidelity following allegations that he “indicated in firm’s internal system that he spoke with customers when he had not.” This is a serious compliance matter that points to potential issues with the accuracy of firm records and proper customer communication protocols.
- Employer Allegations: The reasons for his discharge included:
- Inaccurate Books and Records — Recording false customer contact activity
- Failure to Follow Firm Procedures — Not adhering to required internal compliance and documentation practices
Such disclosures are explicitly recorded in FINRA’s BrokerCheck. You can view the official regulatory record here: FINRA BrokerCheck.
Potential Impact for Investors
While not every regulatory disclosure signals actual misconduct or financial harm, misrepresenting customer interactions and failing to follow strict compliance standards can increase the risk of unauthorized trading, poor account supervision, and inappropriate recommendations. This is especially concerning for investors who rely on their advisor’s representations and advice.
- Were your account notes accurate? Discrepancies in records may mean you did not receive adequate risk disclosures or suitable recommendations.
- Did you experience unexplained losses or unsuitable investments? A lack of transparency in communications can mask inappropriate investments or unauthorized trades.
- Were you kept fully informed? A trusted advisor should keep clients informed on all actions taken in the account.
How Haselkorn & Thibaut Can Help
Haselkorn & Thibaut is actively assisting investors nationwide who may have lost money with Jon James Toerner—whether during his time at Stifel, Fidelity, or any of his prior firms. With millions recovered for clients and a 98% success rate, our attorneys provide free, confidential case reviews and will help you evaluate possible paths to recover your losses.
Common Investor Concerns — Red Flags Checklist
If any of the following apply to your experience with Mr. Toerner, you may wish to seek further review:
- Sudden, unexplained account losses
- Lack of documentation about trades or advice
- Feeling pressured into unsuitable or high-risk investments
- Gaps or inconsistencies in communications
- Poor transparency regarding fees or commissions
Complaints & Regulatory Actions
As of the latest available information, key issues include:
- Employment Discharge (Fidelity, 2025): Terminated for recording false customer discussions in internal systems.
- Internal Allegations: Inaccurate books and records; failure to follow compliance procedures.
No civil lawsuits, customer complaints, or regulatory enforcement actions have been publicly disclosed beyond those already listed. However, it is possible that additional matters are under review or may not yet be public.
Your Next Steps — Free Case Review
If you believe your investments were mishandled or that you may have suffered losses while working with Jon James Toerner at Stifel, Nicolaus & Company, Incorporated, or during his time at Fidelity, you have the right to request a detailed case evaluation. Haselkorn & Thibaut offers a free, confidential consultation and works on a contingency basis, meaning there are no legal fees unless a recovery is made.
Get your questions answered—call Haselkorn & Thibaut today at 1-888-994-8066.
Why Choose Haselkorn & Thibaut?
- National reputation for investor advocacy
- Proven success: over 98% recovery rate
- Millions recovered for harmed investors
- No recovery, no fee
- Personalized, compassionate client service
Final Thoughts
Choosing the right financial advisor is critical for safeguarding your savings and financial future. If you have questions about your experiences with Jon James Toerner or your investments, don’t wait to get the facts. Contact Haselkorn & Thibaut at 1-888-994-8066 for your free, confidential case review and take the first step toward possible recovery.
Your financial peace of mind matters—let experienced investment fraud lawyers help you protect it.
