320 North Meridian Street
Suite 612
Indianapolis, Indiana 46204
james.klimek@klimek-law.com
(317) 800-3297

Private practice in the field of securities law, 2000-present

  • structure and document private placements of securities, including compliance with state and federal exemptions from registration and drafting private placement memoranda

  • register public offerings of securities

  • advise companies on strategic transactions such as mergers and acquisitions

  • represent broker-dealers, registered representatives, investment advisers and issuers of securities in connection with investigations by securities regulators

  • 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 to be 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

  • 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

  • commentator, Wrong-Right Reasoning, Dr. Peter Murphy, University of Indianapolis, Indiana Philosophical Association, November, 2017, Purdue University