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Prosecution Assistance Unit

Secretary of State Todd Rokita assumed office in January 2003. Since that time enforcement has been a major emphasis of the Securities Division culminating in the formation of the Prosecution Assistance Unit in March of 2004.

Dear Commissioner Davis:

I am writing this letter to formally express my appreciation for the presentation to my investigative staff on Thursday, March 15, 2007 at the Indiana State Police Post in Versailles by Mr. Paul Lawson, Mr. Charles Williams, and Ms. Kimberly Haskins. The discussion was informative and their expertise in working and prosecuting securities-related cases was evident. I heard many positive comments appreciative of the manner in which the information was presented.

I thank you for allowing your staff to share their experiences with us on these matters. We all left the training session much better informed and educated on the processes involved in the investigation and prosecution of securities-related cases.

Respectfully,

Steven D Holland
Lieutenant

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Dear Secretary Rokita:

We recently completed the successful prosecution of a securities case securing a guilty plea to securities fraud and an award of full restitution to all Indiana victims.  The Prosecution Assistance Unit of the Secretary of State's Securities Division provided vital assistance throughout all phases of this case from the initial investigation and referral, the drafting of the probable cause affidavit and information, factual analysis and formulation of an appropriate plea agreement.  My office is small and my workload is heavy.  I appreciated not only the professionalism of the PAU attorney and investigator who worked this case but also their approach in respecting the fact that it was, in the final analysis, my case to resolve.  Thanking you in advance for your cooperation in this matter, I remain

Respectfully yours,

Kit C. Dean Crane
Prosecuting Attorney

[View a PDF of the letter]

"Secretary Rokita's office was vital in bringing these individuals to justice," Greenwood Police Chief Joseph Pitcher said. "This was our first time working with the office and it was extremely helpful. The PAU was highly professional and extremely competent, and without their level of expertise the case would have been far more difficult to prosecute."

Greenwood Police Chief Joseph Pitcher

"We have these kinds of white-collar crimes in our community, but this is certainly the worst case I've seen in my 12 years as prosecutor," Cummings said. He added that his office appreciated the teamwork involved. While the state's investigators had developed the civil side of the case extensively, they needed help from Cummings' office to work the criminal side, namely because the Secretary of State's office has no jurisdiction in criminal cases. "Their expertise was very helpful, particularly because it's not the kind of criminal case we're used to dealing with," Cummings said.

Rodney J. Cummings, Madison County Prosecutor

*As of September 30, 2006

As of September 30, 2006, there were 15 PAU cases pending in court.