Christopher Hayes Allegedly Executed Unsuitable Sales of Securities

Christopher Hayes (CRD #: 2333190), a broker registered with Fifth Third Securities, was the subject of an investor dispute, according to his BrokerCheck record, accessed on September 20, 2025. Keep reading to learn more about his alleged conduct as a broker.

Investor Dispute

On June 2, 2025, an investor alleged that Christopher Hayes executed unsuitable sales of collateralized mortgage obligations (CMOs) and mortgage-backed securities. This dispute was settled for $122,500.

FINRA Rule 2111

FINRA Rule 2111 requires brokers to take investors’ profiles into account when recommending investments. An investor’s profile describes the following characteristics:

• Age
• Financial goals
• Risk tolerance
• Time horizon (i.e., how long the investor plans to hold the investment)
• Investing experience
• Tax status

Investors who rely on their broker for recommendations may be able to recoup their losses through FINRA arbitration.

Background Information

Christopher Hayes has passed the following exams:

• General Securities Sales Supervisor – Options Module Examination – Series 9
• Securities Industry Essentials Examination – SIE
• General Securities Representative Examination – Series 7
• Uniform Investment Adviser Law Examination – Series 65
• Uniform Securities Agent State Law Examination – Series 63

Christopher Hayes is a registered broker in 23 states and a registered investment adviser in Ohio.

He has also worked for the following firms:

• Morgan Stanley DW (CRD#:7556)
• Lockwood Financial Services (CRD#:40655)
• Salomon Smith Barney (CRD#:7059) 
• Lehman Brothers (CRD#:7506) 

Kurta Law Can Help

If you worked with Christopher Hayes and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want 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.