Practice Areas

Charles C. Mihalek Esq.

Charles C. Mihalek Esq.

Location:
Lexington, Kentucky
Phone:
859-554-0495
800-783-1413
Fax:
859-233-7994
Email:

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.

Areas of Practice

  • Investors Rights
  • Securities
  • Commodities
  • Class actions
  • Arbitration
  • Mediation
  • Representation of individuals and firms in securities investigations, disciplinary hearings and employment matters.

Bar Admissions

  • Kentucky, 1971
  • District of Columbia, 1973
  • U.S. Court of Appeals 6th Circuit, 1989
  • U.S. District Court Southern District of Indiana, 1991
  • U.S. District Court Eastern District of Kentucky, 1979
  • U.S. District Court Western District of Kentucky, 1979

Education

  • University of Kentucky College of Law, Lexington, Kentucky
    • J.D., Doctor of Jurisprudence - 1969
  • Rutgers University, New Brunswick, New Jersey
    • B.A., Bachelor of Arts - 1967

Professional Associations and Memberships

  • Kentucky Bar Association, Member
  • The Fayette County Bar Association , Member
  • The Public Investors Arbitration Bar Association (PIABA), Member

Past Employment Positions

  • United States Securities and Exchange Commission, New York Regional Office, Division of Enforcement, Senior Trial Attorney
  • Commonwealth of Kentucky, Division of securities, Director of the Department of Banking and Securities
  • New York Stock Exchange, Inc., Special Counsel
  • Commonwealth of Kentucky, Special Assistant Attorney General in charge of Securities Crimes