John Ledesma Allegedly Committed Securities Violations

John Ledesma (CRD #: 2379751) has three pending disputes on his record in which customers report that he allegedly engaged in securities law violations, fraud, contract breaches, and negligent conduct tied to trades from 2022 to 2023. These disclosures appear on his BrokerCheck record, accessed on December 11, 2025. Keep reading if you have questions regarding his alleged conduct.

Investor Allegations

On October 21, 2025, customers reported that John Ledesma allegedly engaged in securities violations, fraud, breach of contract, breach of fiduciary duty, and negligent conduct involving trades placed between 2022 and 2023.

On November 12, 2025, another customer dispute was filed alleging further securities violations, fraud, breach of contract, breach of fiduciary duty, and negligent conduct tied to trades during this period.

Negligence

Many types of broker misconduct may qualify as negligence. Typical examples include unsuitable investment recommendations, misrepresentations or omissions of material facts, and failure to follow instructions.

Investors who believe their losses are the result of broker negligence may be able to recover their funds through FINRA arbitration.

Fiduciary Duties

Brokers are often dually registered as Registered Investment Advisers (RIAs) with the SEC. RIAs are fiduciaries, and fiduciaries are required to act in their clients’ best interests. Brokers are not fiduciaries but must abide by FINRA Rule 2111 and Regulation Best Interest. (To learn more about the differences between brokers and Registered Investment Advisers, click here.) 

High Standards of Commercial Honor

FINRA Rule 2010 requires brokers to uphold high standards of commercial honor and just and equitable principles of trade. Allegations involving negligence, breach of fiduciary duty, or improper handling of investor accounts may violate this rule if proven.

Background Information

John Ledesma has passed the following exams:

• SIE — Securities Industry Essentials Examination

• Series 7 General Securities Representative Examination

• Series 15 Foreign Currency Options Examination

• Series 3 National Commodity Futures Examination

• Series 66 Uniform Combined State Law Examination

• Series 63 Uniform Securities Agent State Law Examination

John Ledesma is a registered broker in Arizona, California, Colorado, Connecticut, Florida, Hawaii, Indiana, Kansas, Louisiana, Maine, Massachusetts, Nevada, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, Texas, Vermont, Virginia, and Washington. 

He is also registered as an investment adviser in California.

John Ledesma has registered with the following firms:

• Emerson Equity LLC (CRD#: 130032)
• Sutter Capital Partners, LLC (CRD#: 288442)
• Capulent LLC (CRD#: 155155)
• Independent Financial Group, LLC (CRD#: 7717)
• Atlanta-One, Inc. (CRD#: 17881)

Kurta Law Can Help 

If you have worked with John Ledesma and have concerns about your investments, don’t hesitate to contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.