RUBIN v. UNITED STATES

No. 79-1013.

449 U.S. 424 (1981)

RUBIN v. UNITED STATES.

Supreme Court of United States.

Decided January 21, 1981.


Attorney(s) appearing for the Case

Louis Bender argued the cause for petitioner. With him on the brief was Sandor Frankel.

Stephen M. Shapiro argued the cause for the United States With him on the brief were Solicitor General McCree, Sara Criscitelli, Ralph C. Ferrara, Jacob H. Stillman, and Elisse B. Walter.*


CHIEF JUSTICE BURGER delivered the opinion of the Court.

We granted certiorari in this case to decide whether a pledge of stock to a bank as collateral for a loan is an "offer or sale" of a security under § 17 (a) of the Securities Act of 1933, 15 U. S. C. § 77q (a).

I

Late in 1972, petitioner became vice president of Tri-State Energy, Inc., a corporation holding itself out as involved in energy exploration and production. At the time,...

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