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Securities Division > Prosecution Assistance Unit > Prosecutors Information Prosecutors Information

What is the Prosecution Assistance Unit?

The Indiana Secretary of State, Securities Division (the "Division") is a relatively small criminal justice agency. The Division is mandated by Ind. Code § 23-2-1 et seq to oversee securities transactions in the state of Indiana. When most people hear the term security they usually have a preconceived and sometimes narrow view of what it is. A security consists of general stocks, bonds and a variety of other investment instruments, including but not limited to, promissory notes, and investment contracts. If an individual is supplying money or its equivalent to obtain some type of profit, a security most likely exists. The Division has a dedicated unit, the prosecution assistance unit, that investigates investment schemes. The elderly and their savings are sometimes prime targets for this type of activity.

Violations of the Indiana Securities Act are Class C felonies. If, during the course of an investigation, issues concerning securities should turn up, please contact the Indiana Securities Division.

The Division also regulates investment advisors, franchises, loan brokers, and commodities. If you would like more information on the Division as to who we are, what we do, and how we can help you, please call us at the numbers listed below.

In the event a prosecutor has a securities or loan broker violation that does not meet the criteria for criminal prosecution the Division has attorneys who can handle the problem administratively or civilly.

The PAU released a revised Prosecution Assistance Manual in early 2007 that is available to prosecutors with out charge upon request.

Indiana Secretary Of State
Securities Division
302 W. Washington Street
Room E-111
Indianapolis, Indiana 46204
317-232-6681
1-800- 223-8791
Fax 317-233-3675
pau@sos.in.gov


Senior Investigator
Richard Neff
Phone 317- 232-0736
Email: rneff@sos.IN.gov


Investigator
Charlie Williams
Phone 317-234-3613

Email: cpwilliams@sos.IN.gov

Investigator
Kimberly Haskett
317-234-3166

Email: khaskett@sos.IN.gov


Attorney

Stephanie Caraway
Phone 317-232-6696
Email: scaraway@sos.IN.gov

Matthew Dumas
Phone 317-232-6686
Email: mdumas@sos.IN.gov

THESE LINKS ARE STILL UNDER CONSTRUCTION

Click here for selected examples of trial memorandums for investment contracts, promissory notes and loan broker violations.
(A memorandum for each case is prepared when requested by a prosecutor.)

Click here for an annotated list of securities related cases and cases that pertain to related issues.

Click here for jury instructions that can be used in securities related cases.

Click here for sample charging information's.

Click here for selected examples of trial memorandums for investment contracts, promissory notes and loan broker violations.

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