320 North Meridian Street
Indianapolis, Indiana 46204
James Klimek practices in the field of securities law. He counsels companies and funds regarding capitalization and advises clients on private securities transactions. Mr. Klimek advises broker-dealers, investment adviser and finders on regulatory matters. He also defends investigations of the Securities and Exchange Commission and the Indiana Securities Division.
Mr. Klimek has been a member of the firms of Lewis Kappes and Maddox Hargett & Caruso. He was also Associate Counsel at a public company he advised on mergers and acquisitions and class action litigation.
Mr. Klimek served as Chief Counsel to the Indiana Securities Commissioner from 1994-97, and as Deputy Commissioner from 1992-94. At the Securities Division, he managed review of securities offerings made in Indiana and wrote legislation and regulations. He was a member of the North American Securities Administrators Association Investment Companies, International Corporation Finance and Uniform Securities Act Committees.
He published "New Securities Commissioner Faces Challenges," Indiana Business Journal, July 11, 2015 and "Brief History of Securities Law," Blue Sky Bugle, September, 2010.
He presented "The Mini MBA for Attorneys," National Business Institute, 2018-19, "LLCs: From Formation to Special Uses," National Business Institute, 2010-11, "LLCs Trends and Developments," National Business Institute, 2009, "Advanced Corporate Practice," Indiana Continuing Legal Education Forum, 2000 and "Blue Sky Law Developments," Indiana State Bar Association Annual Meeting, 1996.
Mr. Klimek earned his J.D. from the Indiana University Maurer School of Law in 1992 and his B.A., magna cum laude, from Colby College in 1989.