Helping Investors Recover Money Since 1977
At Mihalek Law, we primarily represent investors in disputes with their financial advisers both in court and in arbitration before the Financial Industry Regulatory Authority (FINRA). We also represent registered representatives in disputes with employers.
The firm's attorneys, Charles C. Mihalek and Steven M. McCauley, regularly represent individual investors in claims involving misconduct of brokers and investment advisers. Common claims include misrepresentations and omissions of material facts, negligent retirement advice, unsuitable recommendations, excessive trading, unauthorized transactions, theft or conversion of client funds, and other breaches of fiduciary duty.
Although we are based in the heartland of America — Lexington, Kentucky — we have an insider's knowledge of Wall Street and the securities industry. Our background allows us to level the playing field for investors throughout the country to seek redress for the financial damages they have suffered.
Founding attorney Charles C. Mihalek served as special counsel to the New York Stock Exchange, Inc., was a senior trial attorney for the United States Securities and Exchange Commission (SEC), and Director of the Kentucky Division of Securities before entering private practice.
Attorney Steven M. McCauley has been with the firm for 20 years, working almost exclusively for individual investors in claims against investment banks, broker/dealers and financial advisers.
Learn more about our lawyers' background and accomplishments by following the links below:
Learn more about the counsel we provide by scheduling a free initial consultation. We can be reached through our contact form or by calling 800-783-1413.