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Dvorak v. State

Court of Appeals of Indiana

May 17, 2017

Peter T. Dvorak, Appellant-Defendant,
v.
State of Indiana, Appellee-Plaintiff.

         Appeal from the Monroe Circuit Court Trial Court Cause No. 53C02-1506-FC-540 The Honorable Marc R. Kellams, Judge

          Attorneys for Appellant Thomas W. Farlow Darren A. Craig Jenai M. Brackett Indianapolis, Indiana

          Attorneys for Appellee Curtis T. Hill, Jr. Attorney General of Indiana James B. Martin Deputy Attorney General Indianapolis, Indiana

          Barnes, Judge.

         Case Summary

         [¶1] Peter Dvorak appeals the trial court's denial of his motion to dismiss charges of Class C felony offer or sale of an unregistered security and Class C felony acting as an unregistered agent. We reverse and remand.

         Issue

         [¶2] Dvorak raises one issue, which we restate as whether the trial court properly denied his motion to dismiss charges based on the statute of limitations.

         Facts

         [¶3] In June 2015, the State charged Dvorak with Count I, Class C felony offer or sale of an unregistered security, and Count II, Class C felony acting as an unregistered agent. The State alleged:

Count I:
[O]n or about July 9, 2007 in Monroe County, State of Indiana, Peter T. Dvorak did knowingly offer or sell a security that was not registered, was not exempt under I.C. 23-19-2-1 and I.C. 23-19-2-2 of the Indiana Securities Act, or was not a federal covered security, to-wit: Peter T. Dvorak offered or sold a Promissory Note and an Agreement to Lend and Borrow Money to Todd Wahl that were not registered with the Indiana Secretary of State's Office, Securities Division, as required by law. I.C. 23-2-1-3 (2007) and I.C. 23-2-1-18.1 (2007).
Additionally, Peter T. Dvorak concealed his true actions from Todd Wahl by structuring the Promissory Note and Agreement to Lend and Borrow Money so that they did not mature until July 9, 2010; therefore, Todd Wahl would not know that the investment was not valid until July 9, 2010. Further, Dvorak concealed his actions from the State of Indiana by offering and selling the security while not registered with the Indiana Secretary of State. Because the security was not registered and because Dvorak was not registered to offer or sell securities, he kept himself out of the purview of both law enforcement and industry regulators. These offenses could ...

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