James A. Klimek Law Office

Overview:

James Klimek has practiced securities law for over twenty years.

One part of his practice is structuring and documenting private placement offerings of securities for companies and investment funds. He also issues Rule 144 opinions for selling security holders.

Mr. Klimek advises corporate and litigation counsel on securities law issues.

He represents broker-dealers, registered representatives, investment advisers and issuers of securities in connection with licensing and regulatory investigations before the Indiana Securities Division.

Mr. Klimek is a Financial Industry Regulatory Authority Dispute Resolution Arbitrator. He is also a member of the American Bar Association’s State and Federal Regulation of Securities Committees.

He has been a member of the firms of Lewis & Kappes and Maddox Koeller Hargett & Caruso. He has served in the in-house legal department of a publicly traded insurance holding company which he advised on mergers and acaquisitions, public and private securities and class action litigation.

He has served as Chief Counsel to the Indiana Securities Commissioner. That position involved appearing in Indiana Takeover Offer Act hearings as both hearing officer and counsel to the Securities Division. Mr. Klimek drafted regulations and legislations including the Indiana Uniform Limited Offering Exemption and amendments to the Indiana Securities Act. He was a member of the North American Securities Administors Association Uniform Securities Act, Investment Companies and International Corporation Finance Committees.

Publications and seminars Mr. Klimek has presented include Blue Sky Law Developments: “Test-the-Waters” and Internet Offerings, Indiana State Bar Association Business Law Section, 1996; Securities and Finance Issues, Indiana Continuing Legal Education Forum Advanced Corporate Corporate Practice Seminar, 2001; Securities Law Issues and Answers at National Business Institute Seminar LLC Trends and Developments, 2009-10; Brief History of Securities Law, Blue Sky Bugle, Sept. 2010 at 14.

Areas of law: