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IN the ILLINOIS INDEPENDENT TAX TRIBUNAL Wachovia Securities

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IN the ILLINOIS INDEPENDENT TAX TRIBUNAL Wachovia Securities IN THE ILLINOIS INDEPENDENT TAX TRIBUNAL Wachovia Securities Financial Holdings, LLC ) ) Petitioner, ) ) v. ) No. ) The Illinois Department of Revenue , ) ) Defendant. ) PETITION Petitioner, Wachovia Securities Financial Holdings, LLC ("Petitioner"), by and through its attorneys, Horwood Marcus & Berk, Chartered, complains of the Defendant, the Illinois Department of Revenue ("Department"), and alleges as follows: PARTIES 1. Petitioner's principal place of business is at One North Jefferson, St. Louis, Missouri, 63103, and Petitioner's mailing address for tax purposes is 401 South Tryon Street, Dl050-240, Charlotte, North Carolina 28202. 2. Petitioner is represented by Horwood Marcus & Berk Chartered attorneys Marilyn A. Wethekam and Breen M. Schiller locatc::d at 500 West Madison St., Suite 3700, Chicago, Illinois 60661, and can be reached at 312-606-3240 or [email protected] or [email protected] and 312-606-3220. 3. Petitioner's FEIN is 72-1560834. 4. Petitioner's Illinois Account Number is 16819-02592. 5. The Department is an agency of the Executive Department of the State Government and is tasked with the enforcement and administration of Illinois tax laws. 20 ILCS 5/5-15. 1 3037888/1/11028.003 NOTICE 6. On February 2, 2016 the Department issued Petitioner a Notice of Claim Denial ("Notice") for the taxable year ending December 31, 2012 ("Year at Issue") denying Petitioner's claim for refund of its Illinois partnership replacement tax overpayments in the amount of $429,339. 7. A true and accurate copy of the Notice is attached hereto as Exhibit A. JURISDICTION 8. Petitioner brings this action pursuant to the Illinois Independent Tax Tribunal Act ("Tribunal Act"), 35 ILCS 1010/1-1 to 35 ILCS 1010/1-100. 9. This Tribunal has jurisdiction over this matter pursuant to Sections 1-45 and 1-50 of the Tribunal Act because Petitioner timely filed this petition within 60 days of the Notices. BACKGROUND 10. The tax involved herein is the Illinois partnership replacement tax imposed under the Illinois Income Tax Act (the "Act"), 35 ILCS §5/201, et seq. 11. Petitioner is a financial holding company. 12. Petitioner files Illinois replacement tax returns in Illinois because Petitioner does business in Illinois. CONTROVERSY 13. Petitioner filed an Illinois partnership replacement tax return for the Year at Issue. 14. The Petitioner filed a claim for refund on September 17, 2015. 2 3037888/1/11028.003 15. On or about February 2, 2016, Department issued a Notice of Denial indicating that additional information should be provided to the Department. A true and accurate copy of the Notice Deficiency is attached hereto as Exhibit A. 16. On or about March 4, 2016, Petitioner faxed the requested information to the Department. A true and accurate copy of the facsimile cover sheet and the IL-1065-X Schedule Bare attached as Exhibit B. 17. The Department orally told Petitioner on March 7, 2016, that it reviewed and processed the additional information Petitioner submitted to grant the requested refund in full. 18. Petitioner has requested and the Department has been unable to provide written confirmation that the additional information provided on or about March 4, 2016, has been reviewed and processed. 19. Petitioner has requested and the Department has been unable to provide written confirmation that the IL 1065-X filed by the: Petitioner for the Year at Issue has been processed and the requested refund granted. COUNT I The Department's issuance of the Notice was in error because Petitioner Provided the Information to Support the Refund. 20. Petitioner re-alleges and incorporates by this reference the allegations made in paragraphs 1 through 18. 21. Petitioner on March 4, 2016, provided the Department with a copy of a corrected Schedule B to the IL 1065-X that was filed on September 17, 2015. 3 3037888/1/11028.003 22. Petitioner has not received ·written confirmation that the additional information was accepted and processed by the Department. 23. Petitioner has not received written confirmation that the IL1065-X has been accepted and the requested refund granted. 24. Petitioner has not received any written correspondence indicating the Notice has been withdrawn. 25. Petitioner contends that the denial of the refund is in error as all supporting documentation has been provided to the Department. WHEREFORE, Petitioners pray that this Tribunal enter an Order that: a. finds and declares that the Department's issue of the Notice was in error; b. finds and declares that Petitioner is entitled to the refund reported on its IL 1065- X;and c. grants such further relief as this Tribunal deems appropriate under the circumstances. Respectfully Submitted, Wachovia Securities Financial Holdings, LLC Petitioners Marilyn A. Wethekam Breen M. Schiller HORWOOD MARCUS & BERK CHARTERED 500 West Madison Street, Suite 3700 Chicago, Illinois 60661 (312) 606-3200 4 3037888/1/11028.003 EXHIBIT A Notice of Claim Status STATE OF for fL-1065-X. Amended Partnership Replacement Tax Return llinois if:N~lll!i.Ot:R~JJJ; tax.llllnois.gov #BWNKMGV February 2, 2016 #CNXX X162 4X82 5120# WACHOVIA SECURITIES FINANCIAL HOLDINGS lll~BBIH~R~llllllllll LLC Letter 10: CNXXX1624X825120 ATTN: MAC 01050-240 ANDREA ESTERLINE: 401 S TRYON ST FL 24 CHARLOTIE NC 28202-1934 Account ID: 16819-02592 FEIN: 72-1560834 Reporting Period: December 2012 1111.11 •• 1.,, 1, 111.1111 l1 l111 II I, l1111Il11l11 II.I, .1.1 ... 11H1 Notice of Denial We have reviewed your Form IL-1065-X, Amended Partnership Replacement Tax Return, which you signed and dated September 17, 2015, for the reporting period shown above.This review Is not the result of an audit. We changed your share of income Distributable to a Shareholder or Partner Subject to Replacement Tax to $793,503,633.00 to match the amount listed on the SchE~dule B you provided. Please review and send us a revised Schedule B, if applicable. If you agree with our determination and your account is In balance, do nothing. You will receive a refund if your account is overpaid and no other liabilities exist. If your account has a balance due, you will receive a bill. If you are under the protection of the Federal Bankruptcy Court, please conti~ct us and provide the bankruptcy number and the bankruptcy court. The bankruptcy "automatic stay" does not relieve your obligation to file tax returns. If you do not agree with our determination, you may file :a written protest against our denial, and, if you desire. you may request a hearing. You must do so within 60 days of date of this notice. Your request must be in writing, clearly indicating that you want to protest, and explaining in detail why you do not agree. If you file an acceptable protest on time, we must reconsider our denial as provided in llTA, Sections 910 and 914. If requested, we will grant you or your authorized representative a hearing. If you do not file a written protest within the time period, this denial shall become final. LTR·353 (R·7/01} IL"49l·3959 '· ' ., ·:. If you have any questions, please write or call our Springfield office weekdays between 8:00 a.m. and 4:00 p.m. Our address and telephone number are below. Anna Davis Revenue Tax Specialist I BUSINESS PROCESSING.DIVISION ILLINOIS DEPARTMENT OF REVENUE IL DEPT OF·REVENUE, pO BOX 19004 SPRINGFIELD IL 62794-9004 (217) 557-8766 (217) 785-82Q2 fax Enclosures: Fonn EAR-14, Protest Filing Form Form IDR-867, Taxpayer Bill of Rights Return Envelope LTR-353 (R-71D1) 11.-492·3959 ~ .. ,_ ........ ~---- .... __ -----· ........• ····--·· .. -·~·-·· -··------· ---·-·-.. ··--···---·· --·----·-·-····-·-·· ... --·-- lllinols Department of Revenue 101 West Jefferson Street ,o"1 w0 P.O. Box 19015 · {J ·** fl2-tP!i-1,... •J ~-~'.. Springfield, Illinois ·62794-9015 Mi- 111 Ul Ir!; 0...i.L. 1 ~ ·1 ----~· ~\\·,1,··.·:.1 ) .:;<?'rr. ~,.'.I\':.,. ..='=<(\· ·. ~ ~ --\'-."-, .1 ,,-r::::'.' ~·'«."J(r:::::: ,~.,.:_.1l1~~'"J':,, ~~l( ,,,,...,'iJf.¥/ '~ •,./-~ r:-- \.........:-, '--.:..,r._ '1~ °'~·· 1f< M& u/'" m 1 *-fro\es+ C,'1.e. \.f ~ee~J ~ '.~:[~\~{f~~~~iti~~f~~1l~4l~~1 1 •• . \ 'f\ ~ d.Gvf i ',~• 1~1?.~~-W\?~.·~~.1~~~.·• '.=..· v,·--,..::.rnC:: G"'-'·:';:'i(;?_:j\~~"--·~ ~~.'~!.f~~!~ff).k7~~~~~.·~g,}fu~ V.<n ,,-;:, ~i•-''.'-Y,>-: ''i ,.;::~J;.~··. ~ ~·i -::.'a .·~ '-"~ u.•,\'.'.:.•\L':'~-- 0;•,< -V (/. ~~~.._~,, . ··\ I I 'i~ -.:;.,~~.':::S'-:.0:., ...;-\.;;1s.1. ;. ,\.!:!, > ,.,- '"'1\~~ I :..:::',\\'.; . ...:J '~~;~t~ik~~',,®i~~J~~~\lf~~~:~~]f1 ~ &'\\1.0 ri'l'-... ·"- , \:J)~''' '/~. 'r':'i.b;::.%~t 1 / " __, :~JP,,~ ~)\\ 1 DS R/r'/8Vl'l31J ?920~ ~'il·'·111•UJ11 11~•l1•1l11 1 H'i••1.:11 t.f 1~0.•• 1•tl'lil1 1u.11. 1.I EXHIBITB WELLS FARGO & CO CORPORATE TAX DEPARTMENT FAX TRANSMISSION To: Anna Davis, Revenue Tax Specialist From: Marta Ochoa, Corporate Tax Dept. IL Department of Revenue Fax: 1-217-785--8202 Phone: 908-598-3271 Fax: Phone: 1-217-557-8766 Pages: 2 (including cover page) Re: Wachovia Securities Financial Holdings, LLC Date: 3/412016 Notice of Denial 2012 1065-X Amended Partnership Hetum EIN 72-1560834 Account ID: 16819-02592 0 Urgent 0 For Review 0 Please C1r>mment 0 Please ReplyO Please Recycle •Comments: Dear Anna. Pursuant to our recent conversation, I am sending you the corrected Schedule B to replace the original Schedule B included in the 2012 IL 1065-X Amended Partnership Replacement Tax Return filed by the above-subject taxpayer in September of 2015. We respectfully request the review of this document and your consideration of our request for the full refund as reported on the amended return filed. Please do not hesitate to contact me if you require additional information. J may be reached at the telephone number indicated above or by emaiil at [email protected]. Thank you, :Marta Oc/ioa Marta Ochoa Tax Accountant.
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