Practice Areas - Securities Law
- Blue Sky Law
- Broker-Dealer Regulation
- FINRA Arbitration
| - Private Placement
- Public Offerings
- SEC Enforcement
- Securities Litigation
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| Contact Info | Telephone: 317-624-9300
Cell Phone: 317-225-1787
Fax: 317-822-9474
http://www.klimek-law.com
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| University | Colby College, B.A., Philosophy, magna cum laude, 1989; University College London, 1987-88 |
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| Law School | Indiana University, Bloomington Maurer School of Law, J.D., 1992 |
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| Admitted | 1993, Indiana |
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| Memberships | American Bar Association (Member, Federal and State Securities Regulation Committees). |
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| Special Agencies | Indiana Securities Division. |
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| Born | South Bend, Indiana, April 19, 1967 |
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| Biography | Phi Beta Kappa. Financial Institutions Regulatory Authority Dispute Resolution Arbitrator. Approved Indiana Securities Division Broker-Dealer Compliance Auditor. Co-Editor, Blue Sky Bugle, Newsletter of the ABA State Regulation of Securities Committee, Published "Brief History of Securities Law," Blue Sky Bugle, Sept. 2010 at 14. Speaker: "Blue Sky Law Developments: 'Test-the-Waters' and Internet Offerings," Indiana State Bar Association Business Law Section Meeting, 1996; "Securities and Finance Issues," Advanced Corporate Practice Seminar, Indiana Continuing Legal Education Forum, 2001; "Securities Law Issues and Answers," National Business Institute Seminar; "LLC Trends and Developments," 2009-2010. Chief Counsel, 1995-1997 and Deputy Commissioner, 1992-1995, Office of the Secretary of State of Indiana, Securities Division, 1992-1997. Associate Counsel, Standard Management Corporation, 1997-1999. Member, Maddox Koeller Hargett & Caruso, 2000-2002. Director, 2005-2007 and Of Counsel, 2002-2004, Lewis & Kappes, P.C. Private Practice of Law, 1999-.
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| ISLN | 914217501 |
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