Charles C. Mihalek, Esq.

Charles C. Mihalek, Esq.

Experience Matters ~ See Ours

Charles C. Mihalek

Charles C. Mihalek is one of Kentucky’s most experienced securities attorneys with over 40 years of experience in both New York City and in Kentucky. He is the founding member of Charles C. Mihalek, PSC, which he established in 1977; and has represented hundreds of individual investors across the country in disputes against major brokerage firms and investment professionals. Mr. Mihalek served as class action counsel on what we believe to be the only certified class action brought in state court under the Kentucky Securities Act.

Prior to establishing his private practice of securities law, Mr. Mihalek served as Senior Trial Attorney with the United States Securities and Exchange Commission, New York Regional Office, Division of Enforcement; Director of the Department of Banking and Securities, Division of Securities, for the Commonwealth of Kentucky; Special Assistant Attorney General in charge of Securities Crimes for the Commonwealth of Kentucky; and Special Counsel for the New York Stock Exchange, Inc., with the litigation and regulatory responsibility for the complex enforcement matters involving members of the NYSE.

A native of Pennsylvania, Mr. Mihalek graduated from Rutgers University in 1967 with a B.A. and graduated in 1969 from the University of Kentucky College of Law with a J.D. He is admitted to the Bars of the Commonwealth of Kentucky, District of Columbia, United States Courts in the Eastern and Western Districts of Kentucky, Southern District of Indiana and the Sixth Circuit Court of Appeals.

He is a member of the Kentucky Bar Association, the Fayette County Bar Association and the Public Investors Arbitration Bar Association (PIABA), an international bar association whose members represent investors in disputes with the securities industry.  Mr. Mihalek is a 20-year member, and former director of PIABA. He has lectured at numerous securities law conferences and investment seminars, and has co-authored the law article “Why Statutes of Limitations Are Not Applicable in Kentucky Arbitration, Kentucky Bar Association Bench Bar Magazine, March 2011.

Mr. Mihalek concentrates his practice in the areas of investors rights, securities, commodities and other complex civil litigation, including class actions, arbitration and mediation, and the representation of individuals and firms in securities investigations, disciplinary hearings and employment matters.

Steven M. McCauley, Esq.

Steven M. McCauley, Esq.

Steven M. McCauley, Esq.

A native of Lexington, Kentucky, Mr. McCauley has been an attorney with Charles C. Mihalek, PSC for nearly 20 years. He has represented hundreds of aggrieved investors in disputes against the Securities broker-dealers, banks, registered investment advisors and the financial advisors employed thereby. Mr. McCauley graduated from the University of Kentucky in 1987 and received his law degree (J.D.) from the University of Kentucky, College of Law in 1990. He also holds an MBA in Finance which he received (with distinction) from the University of Kentucky College of Business and Economics in 1992. Mr. McCauley is admitted to practice in all courts of the Commonwealth of Kentucky, the U.S. Supreme Court, the Sixth Circuit Court of Appeals, and the United States District Courts in the Western and Eastern Districts of Kentucky. Mr. McCauley serves as both an Arbitrator and Panel Chairperson for the Financial Industry Regulatory Authority (FINRA).

Mr. McCauley is an active member of the Kentucky Bar Association, where he currently serves as Vice Chair on the Alternative Dispute Resolution Section.  Mr. McCauley is a member of the Fayette County Bar Association, and the Public Investors Arbitration Bar Association (PIABA), an international bar association dedicated to protecting and representing investors in securities and commodities arbitration proceedings brought against the securities industry.

Mr. McCauley focuses his practice on investor rights and securities law matters, including securities arbitrations and litigation, SEC and FINRA enforcement matters, employment disputes, securities class actions, and complex civil litigation.; He has presented investment seminars and is the co-author of Why Statutes of Limitations Are Not Applicable in Kentucky Arbitration, Kentucky Bar Association Bench & Bar Magazine, March 2011.