Securities Trading Expert for a Tax Dispute

Case Description:

A securities trading expert was needed for a tax dispute involving a transaction known as a variable prepaid forward contract (VPFC). A government agency served a holding company with notices of deficiency in income tax. At issue in the resulting litigation was the tax treatment of VPFCs.

IMS ExpertServices was asked to locate a securities trading expert who was experienced in brokerage operations. The ideal expert would understand the mechanics of short sales, share lending and VPFCs.

Experts Presented:

  • Securities Trading Expert

    As an experienced expert witness, this securities trading expert has testified before Congress on the design of financial markets and served as an expert in numerous finance related cases including tax disputes. In several cases, he was responsible for analyzing variable prepaid forward contracts (VPFCs). He is a research professor who teaches undergraduate and MBA level finance courses. His research interests include the structure of securities markets, short selling and securities lending. In addition to authoring more than 20 journal articles on these topics, he also holds two patents for methods of securities trading. IMS Reference #5010680

  • Securities Processing Expert

    With more than three decades of experience in the financial services industry, this securities processing expert is familiar with securities trading, loan servicing, government compliance and agreements. He is the co-author of a book on securities processing which also addresses securities trading compliance issues. His specific area of expertise focuses on the technology utilized in the securities industry. IMS Reference #5014356

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Industry: All, Finance, Securities