Practice Areas

Steven M. McCauley Esq., MBA

Steven M. McCauley Esq., MBA

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

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.

Areas of Practice

  • Securities Law Matters
  • Securities Arbitrations and Mediations
  • Security Enforcement Matters
  • Securities Class Actions
  • Litigation

Bar Admissions

  • Kentucky
  • U.S. Court of Appeals 6th Circuit
  • U.S. District Court Western District of Kentucky
  • U.S. District Court Eastern District of Kentucky
  • Supreme Court of the United States of America

Education

  • University of Kentucky College of Law, Lexington, Kentucky
    • LL.B., Bachelor of Laws - 1990
  • University of Kentucky College of Business and Economics
    • MBA (Finance)

Professional Associations and Memberships

  • Kentucky Bar Association
  • Fayette County Bar Association
  • Public Investors Arbitration Bar Association (PIABA)
  • Financial Industry Regulatory Authority (FINRA), Arbitrator and Panel Chairperson