320 North Meridian Street
Suite 612
Indianapolis, Indiana 46204
james.klimek@klimek-law.com
(317) 800-3297
C.V.
Private practice in the field of securities law, 2000-present
- form companies, including drafting of limited liability company operating agreements
- structure and document offerings of securities for companies and funds
- advise companies on strategic transactions such as mergers and acquisitions
- Financial Industry Regulatory Authority Dispute Resolution Arbitrator
- member of the American Bar Association State and Federal Regulation of Securities Committees
- former member of the firms of Lewis Kappes and Maddox Hargett & Caruso
Standard Management Corporation, Associate Counsel, 1997-99
- advised publicly traded company on mergers and acquisitions
- defended class action litigation
Indiana Securities Division, Chief Counsel to the Securities Commissioner, 1994-97, Deputy Commissioner, 1992-94
- drafted regulations and legislation, including the Uniform Limited Offering Exemption and amendments to the Indiana Securities Act
- managed review of securities offerings made in Indiana
- member of the North American Securities Administrators Association Investment Companies, International Corporation Finance and Uniform Securities Act Committees
Publications
- New Securities Commissioner Faces Challenges, Indianapolis Business Journal, July 11, 2015
- Brief History of Securities Law, Blue Sky Bugle, September, 2010
- Tips for Using Indiana's Limited Offering Exemptions, Indiana Securities Division Interpretive Opinion, September 30, 1996
Presentations
- The Mini MBA for Attorneys, National Business Institute, 2018-19
- LLCs: From Formation to Special Uses, National Business Institute, 2010-11
- LLC Trends and Developments, National Business Institute, 2009
- Advanced Corporate Practice, Indiana Continuing Legal Education Forum, 2000
- Blue Sky Law Developments, Indiana State Bar Association Annual Meeting, 1996
Academics
- Indiana University Maurer School of Law, J.D., 1992
- Colby College, B.A., magna cum laude, 1989, Phi Beta Kappa, Stephen Coburn Pepper Prize for Philosophy
- University College London, visiting student, 1987-88
- Indiana University Purdue University Indianapolis, M.A. in Philosophy in progress
- judge, American Bar Association Mendes Hershman Student Writing Contest, 2018
- judge, Indiana University Maurer School of Law moot court competition
- commentator, Wrong-Right Reasoning, Dr. Peter Murphy, University of Indianapolis, Indiana Philosophical Association, November, 2017, Purdue University