Self Heating & Cooling, Inc. v. Comm'r

2004 T.C. Memo. 85, 87 T.C.M. 1163, 2004 Tax Ct. Memo LEXIS 85
CourtUnited States Tax Court
DecidedMarch 24, 2004
DocketNo. 3267-02
StatusUnpublished

This text of 2004 T.C. Memo. 85 (Self Heating & Cooling, Inc. v. Comm'r) is published on Counsel Stack Legal Research, covering United States Tax Court primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Self Heating & Cooling, Inc. v. Comm'r, 2004 T.C. Memo. 85, 87 T.C.M. 1163, 2004 Tax Ct. Memo LEXIS 85 (tax 2004).

Opinion

SELF HEATING AND COOLING, INC., TRANSFEREE, Petitioner v. COMMISSIONER OF INTERNAL REVENUE, Respondent
Self Heating & Cooling, Inc. v. Comm'r
No. 3267-02
United States Tax Court
T.C. Memo 2004-85; 2004 Tax Ct. Memo LEXIS 85; 87 T.C.M. (CCH) 1163;
March 24, 2004, Filed

*85 Judgment entered for respondent.

Barry A. Furman, for petitioner.
Gerald A. Thorpe, for respondent.
Ruwe, Robert P.

RUWE

MEMORANDUM FINDINGS OF FACT AND OPINION

RUWE, Judge: In a notice of transferee liability dated September 28, 2001, respondent determined that petitioner was liable as a transferee for the 1996 income tax liability of Self Oil Heat, Inc., in the amount of $ 119,689.71, plus interest provided by law. The only issue presented by the parties is whether petitioner is liable as a transferee of property pursuant to section 6901. 1

             FINDINGS OF FACT

Some of the facts have been stipulated and are so found. When the petition was filed, petitioner's principal place of business was in Fort Washington, Pennsylvania.

Background

On July 1, 1971, Self*86 Oil Heat, Inc. (Self Oil), was organized pursuant to the laws of Pennsylvania to engage in, inter alia, the business of selling fuel oil. Self Oil elected to be treated for tax purposes as an S corporation until that election was revoked on or about April 12, 1996. From the date of its incorporation until the date it ceased operations, Robert N. Self, Sr., was Self Oil's president, sole shareholder, and sole director. For part of 1991 and 1992, Robert N. Self, Jr., was Self Oil's secretary and treasurer. 2

During 1993, Self Oil and its officers became the subject of a joint criminal investigation conducted by Federal and State authorities to determine whether Self Oil, among others, had paid the correct amount of excise tax on fuel it purchased and sold. Thereafter, a five-count criminal information was filed against Mr. Self, Jr., charging him with, inter alia, *87 conspiracy to defraud the United States by impeding, impairing, obstructing, and defeating the Internal Revenue Service in the computation, assessment, and collection of fuel excise taxes during 1991 and 1992, wire fraud arising from a scheme to defraud the Commonwealth of Pennsylvania of oil company franchise taxes and the State of New Jersey of motor fuel and gross receipts taxes, and mail fraud arising from a scheme to defraud the Commonwealth of Pennsylvania of oil company franchise taxes. On or about March 24, 1993, Mr. Self, Jr., entered into a plea agreement with the U.S. attorney and pleaded guilty. On July 27, 1994, a judgment of conviction was entered sentencing Mr. Self, Jr., to 5 years of probation and the payment of $ 15,250 in penalties. A judgment of conviction was also entered against Self Oil requiring it to pay a $ 45,000 fine and a forfeiture penalty of $ 243,900.

Petitioner, Self Heating and Cooling, Inc., is a Pennsylvania corporation organized on September 29, 1994, and engaged in the business of selling fuel oil and related activities. On October 1, 1994, petitioner issued 100 shares of its stock to Mr. Self, Jr., and Jeanette A. Self, his wife, and 100 shares*88 to Jonathon Self.

On May 2, 1995, the Department of Taxation of the State of Ohio sent Self Oil a demand for immediate payment of motor fuel tax of $ 1,745,938.84 plus a 30-percent penalty for a total amount due of $ 2,269,720.49. On May 5, 1995, the State of Pennsylvania assessed excise tax liabilities, including interest and penalties, against Self Oil totaling $ 6,599,435.56. According to three separate notices of reassessment, all dated April 5, 1996, the State of Pennsylvania notified Self Oil that on the basis of the decision and order that the Board of Finance and Revenue entered on February 27, 1996, Self Oil owed excise tax liabilities, including penalties and interest, totaling $ 7,029,251.32.

At some point, Mr. Self, Sr., and Mr. Self, Jr., concluded that Self Oil could not continue in business if it remained liable for the excise taxes asserted by Ohio and Pennsylvania. Mr. Self, Sr., and Mr. Self, Jr., had discussions with their attorneys, Maury B. Reiter and William Stewart, concerning a method by which the business of Self Oil could be sold to petitioner. Mr. Reiter wrote a memorandum dated January 6, 1996, to his file concerning the "Pennsylvania State Motor Fuel*89 Oil Tax Appeal", which states in whole:

   On or about September 29, 1994, WKS [Mr. Stewart] and MBR [Mr.

   Reiter] met with Robert Self Sr. ("Bob") and Robert Self

   Jr. ("Rob") regarding an assessment for fuel oil tax

   arising out of the circumstances which lead to a criminal

   indictment and settlement. Specifically, the State claimed a

   [sic] that Self Oil had engaged in a "daisy chain" for

   the purpose of evading the motor fuel oil excise tax. The

   assessments were for approximately $ 6 million including penalty

   and interest. Obviously, if successful, the State would put Self

   Oil out of business.

   A plan was devised by WKS and myself to form a new corporation

   ("Newco"). Since Self Oil is entirely owned by Bob, and

   Bob was winding down his involvement in the business, Newco was

   to be owned by Rob and his brother Jonathan. The idea was to

   renew all new customers and existing customers in to Newco as

   well as all new HVAC installations and servicing, while renting

   the trucks, facilities and utilizing the personnel of Self Oil.

   The thought*90 was that we can justify creating Newco since Bob

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2004 T.C. Memo. 85, 87 T.C.M. 1163, 2004 Tax Ct. Memo LEXIS 85, Counsel Stack Legal Research, https://law.counselstack.com/opinion/self-heating-cooling-inc-v-commr-tax-2004.