# Appendix — Rubin v. United States

> Briefs, arguments, decisions, and more.

URL: https://www.frixlaw.com/law-library/documents/brief%3Amicro_IA40385006_2180%3A2

## Record

- **Collection:** Supreme Court brief
- **Document type:** Appendix
- **Published:** January 1, 1981
- **Citation:** 449 U.S. 424

## Text

eS aS ea

JOINT APPENDIX

————————————————————————

IN THE

Supreme Court of the United States
Octoser Term, 1980

No. 79-1013

WILLIAM RUBIN,
Petitioner,

UNITED STATES OF AMERICA,
Respondent.

On Writ of Certiorari to the United States Court of Appeals
for the Second Circuit

PES AE SE A LCE,

PETITION FOR CERTIORARI Fitep DecemsBer 19, 1979

CERTIORARI GRANTED Apri 14, 1980

INDEX

PAGE
Relevant Docket Entries la
Relevant Portions of Trial Transcripts 3a
Relevant Exhibits 123a
Order Granting Certiorari 179a
WITNESSES FOR GOVERNMENT
John Joseph Keating:
BOONE cccccuceescinineaincoidgaddnvopeauiatnedaiaeaeneae 3a, dla
Voir Dire .... 30a
Cross .. 64a
pT AMRIT PEMD Neon DO USES SERIE rn A 66a
Thomas Cox:
I cs ccicentstinharcanbspbailiahiiiiangclncaitane’ mend ena 72a
Max Englander:
URINING cscoicdcanihaiaiatniasidiees ani amen 85a
Charles Leeds:
Direct ... 86a
John E. Pinto, Jr.:
Direct 89a
PROTO ~ ciccccsniatsensiorcdeiildltueasieaaea ee 96a

li INDEX

PAGE
Alfred Reeves:
Direct ma 97a
Donald W. Jennings:
Direet ... 104a
WITNESS FOR PETITIONER
William Robert Rubin (Petitioner):
Direct 120a
Cross 12la
EXxuHisits FoR GOVERNMENT
1—30 Day Promissory Note for $50,000, dated
October 20, 1972 . on 123a
7—Blank Stock Power oe ee ae 125a
8—Blank Stock Power 127a
11—3 Month Promissory Note for $50,000, dated
seek sesewteenenennanen 129a
12—3 Month Promissory Note for $50,000, dated
November 22, 1972, Extending the October
au, 1972 Note for 3 Months ................................ 13la
14—3 Month Promissory Note for $100,000, dated
November 30, 1972 . 1338a
16—3 Month Promissory Note for — 000, dated
ER 135a
19—Power of Attorney 136a

20—Corporate Resolution z 137a

INDEX iii

PAGE
21—Demand Note for $475,000, dated February
By UE ik ceteeesdiesacatartiehtadestincceosinpngnanaciaibavomontaciot 139a
TE —— ERIE FERRE BOR wsccecencccrsctdsceswsessnssnicjensecetiosnis 14la
Ze RTRMNNE TOG OIG snisceciccenticssutnccsersnsdccentacnncibaniiisin 143a
30—Tri-State Energy Corporate Resolution, June
BR, STI coleabaichehiccsinheenglsstohsiiiithacthinalinstacudaummtiianaan 144a
37A—Stock Power Sedna sclsisiesecanshaicebias 145a
37B—Undated Stock Power ...2................c.scscccscseceesseesee 147a
37C—Undated Stock Power ....................--+-- lcelianticnds 149a

38A—Undated Letter of Consent to Pledge Stock 150a
47—Draft Memo of Bankers Trust Company,

dated December 6, 1972 ....... ceiencinnen aaa
48—Draft Memo of Bankers Trust Company,
CRE SOMONE DE TIRE cncecvncsencscinenstinesctnicctsam 156a
49A-7—Memo from John J. Keating to W. C. Pow-
derly, dated February 2, 1973 ..W.0000..... 160a
49A-8—Draft Memo of Bankers Trust Company,
GEO SOWMRET 11, BOTS a ccseivvvienencccivictsneenensaceienss 16la
49B-7—Letter from Jack Lifsitz to William R. Rubin,
Gated October 21, 1GT2 --.ccsnssecccsetncoccccsnnccembejonn 166a
49-58—International Advice Re: Satellite Systems
Corp. 167a

57—Investment Letter, General Investment Stock 168a

65—Bankers Trust Company Notes, dated April
16, 1975 Re: Stocks and Loans, Tri-State
EO I seksi dsinseistaiosinischancinenteiaatl 169a

iv INDEX

PAGE

147—Pink Sheets—All States Life Insurance Co.
Stock “ 170a

163—Affidavit of Confession of Judgment .............. 175a

EXHIBIT FOR PETITIONER

J—Minutes of First Board of Directors, Tri-
State Energy Held July 7, 1972 176a

Date
1-27-78

2- 2-78
3-22-78

JOINT APPENDIX

Relevant Docket Entries

Proceedings

Filed Indictment and related to 78-er-76. ...
Motley, J.

Defendant (attorney present) pleads not guilty.

Filed affidavit of Louis Bender in support of
motions addressed to the indictment.

4-10-78—Filed Affidavit of R. K. Neugarten, AUSA, in

4-10-78
d- 8-78
d- 9-78-

9-25-78
9-26-78

6-30-78

6-30-78

7-6-78

opposition to defendant’s omnibus motions.

Filed Government’s memorandum in response to
omnibus motions.

Defendant and attorney present. Jury trial com-
menced.

Trial continued.

Trial continued and concluded. Jury finds de-
fendant Guilty on Count 1; Count 2 is Dismissep
on Government’s motion; Not Guilty on Count 3.
Sentence 6-30-78. Bail continued. Motley, J.

District Court Judgment set out in Appendix B
to the Petition for Certiorari.

Filed Notice or Appeat of Defendant to United
States Court of Appeals for the Second Circuit
from Judgment of conviction.

Filed True Copy of United States Court of Ap-
peals Order that motion is granted to the extent
that surrender is stayed until July 5, 1978 by
which time the court can consider the motion on
a complete record.

Date
7-11-78

6-30-78

2a
Relevant Docket Entries

Proceedings

Filed True Copy of United States Court of Ap-
peals Order granting continuation of appellant on
bail and under same conditions Re: determina-
tion of appeal and that a briefing schedule be
arranged promptly. —

Filed Transcripts of Record of Proceedings
dated: May 8, 9, 10, 11, 12, 15, 16, 17, 18, 19, 22,
23, 24, 25, 26, 30, 1978.

Judgment of the District Court affirmed in an
Opinion dated September 6, 1979, set forth in
Appendix A to the Petition for Certiorari.

The issuance of the mandate stayed by the Court
of Appeals on October 10, 1979 pending appli-
eation to this Court for a writ of certiorari.

Petition for rehearing and in the alternative for
a hearing en bane denied by the Court of Appeals
on November 20, 1979.

3a

Relevant Portions of Trial Transcript

* + .

[210]* Joun Josepm Keatina, called as a witness on
behalf of the government, having first been duly sworn,
testified as follows:

(Direct Examination)

[216] Q. What were the general nature of the kinds of
corporate loans that were done out of that branch in 1972
as you knew it? [217] A. By industries?

(). By industries? A. About half of the loan portfolio
was to garment center, mostly women’s wear manufac-
turers and the other 50 percent was spread amongst sev-
eral industries really with no concentration at all.

Q. Was a written loan application customarily used for
corporate loans of Bankers ‘rust? A. No, there was no
written loan application.

(). How would a corporation obtain a loan? a) (C Pa 4 of
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The name signed must be printed beneath -: reir

WILLIAM R. RUBLW

WS)

17

Ja

176a

Petitioner’s Exhibit J, Minutes of First Board of
Directors, Tri-State Energy Held July 7, 1972

Minutes or First Mretine or Boarp or Directors
oF Tri-State Enercy, Inc.

The first meeting of the Board of Directors of Tri-State
Energy, Ine., was held at Whitesburg, Letcher County,
Kentucky, on July 7, 1972, pursuant to call and waiver
of notice.

The following Directors of the corporation were present,
constituting a majority of the Board:

C.W. Deaton Jack Deaton
C.W. Deaton exhibited a waiver of notice of the meet-
ing signed by Leonard James, director.

C.W. Deaton was chosen Chairman of the meeting and
Jact Deaton was chosen Secretary of the meeting.

By-laws were presented to the meeting, which were read
and unanimously approved.

The Chairman called for the nomination of officers and
the following persons were unanimously elected to serve
for the term provided in the by-laws:

Leonard James—President
C. W. Deaton—Executive Secretary and Treasurer
Jack Deaton—Manager
C. W. Deaton, Executive Secretary and Treasurer then
took charge of the meeting and acted as Chairman and

presented the following resolutions to the Board, which
were unanimously carried:

177a
Petitioner’s Exhibit J

Resotvep, That the First Security Bank of Whitesburg,
Kentucky, and Bank of Whitesburg, Whitesburg, Kentucky
would be the depository of the corporation’s funds and
the Secretary-Treasurer was authorized to pay all incor-
poration expenses and to order a corporate seal.

Resotvep: That Jack Deaton should be and he is hereby
authorized as the managing agent of the corporation, to
write checks from time to time in amounts up to $5,000.00
per draft or check.

C. W. Deaton then presented a contract with Georgi-
anna Coal Sales, Big H. Combs Coal Co., Inc. and Herman
Combs, Jr., individually, for the mining of coal, which
contract was made to Ben Harvey as second party, with
authorization to assign same to the corporation and upon
the exhibition of the assignment of all contract rights in
the corporation, the Board of Directors unanimously
agreed to accept said contract and the Secretary was
directed to so inform the President of Georgianna Coal
Sales, Big H. Combs Coal Co., Inc., and Herman Combs,
Jr., individually of the assignment.

Resotvep: That on the 9th day of June, 1972, C. W.
Deaton, acting as trustee, assigned two and one half mil-
lion tons of future production of coal to North American
Planning Corporation, 230 Park Avenue, New York City,
New York, and the Corporation recognizes and accepts
said obligation and ratifies the same in every respect.

Resotvep: That on the 9th day of June, 1972, C. W.
Deaton, acting as trustee, assigned two and one half mil-
lion tons of future production of coal to American Leisure,
Ine., 230 Park Avenue, New York City, New York, and
the corporation recognizes and accepts said obligation and
ratifies the same in every respect.

178a

Petitioner’s Exhibit J “e

The Secretary-Treasurer then advised that $35,000.00,
the amount set forth in the Articles, had been paid in
and the eerporation would issue shares as follows:

Leonard James 50 shares
C. W. Deaton 50 shares

Leonard James President

C. W. Deaton
Executive Secretary and Treasurer

179a

Order Granting Certiorari

SUPREME COURT OF THE UNITED STATES
No. 79-1013

i.
a

WILLIAM RUBIN, Petitioner
Vv.

UNITED STATES

»™
ae

Order Allowing Certiorari. Filed April 14, 1980

The petition for a writ of certiorari is granted limited
to Question 1 presented by the petition.

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Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/brief%3Amicro_IA40385006_2180%3A2. Public record. Not legal advice.