For Official Use Only License Registration Report

RDSKey: 60601035 For Official Use Only Page 1 of 4

FEDERAL LICENSING SYSTEM

License Registration Report

License Number: 6 06 003 01 RV 01035 Application ID: 1732239

Special Attention Flags

P RECALL INSPECTION RECOMMENDED

N WARNING CONFERENCE HELD

M WARNING LETTER SENT

ApplicationFORM 7

Add Date

Type DispositionREVOKED

Chanae Date Original Issue Date08/01/2005 04/10/2013 10/05/2004

Inspection Date Business Type12/28/2009

DivisionBOSTON

S

Licensee/Permittee

Expiration Date Renewal Receive Date11/01/2013

Wholesale Indicator Storage

Area OfficeHARTFORD

Business Name

StatusINACTIVE

Renewal Date10/05/2010

LAGUERCIA, DAVID E

Voice Phone: (860)370-9939

RIVERVIEW SALES

Fax Phone: (860)254-5476

Premises Address

Street: 4 PROSPECT HILL RD

City: EAST WINDSORCounty Code:gQ3 County Name:HAETJfpJRD

State: Cj_ Zip Code: 06088

Mailing Address

Street: 1100 RIVER RDCity: AGAWAM State: MA Zip Code: 01001

1

(b)(3) 26 USC 6103

(b)(3) (Public Law 112-55 125 Stat.552)

RDSKey: 60601035 For Official Use Only Page 2 of 4

Responsible Person

Status SSN Last NameACTIVE LAGUERCIATitle

First NameDAVID

INS Number

Middle Name Caden<ELLIOTT

COGENT NumberOWNERStreet

City State

Zip Code Photo Reed Date06/01/2004

Email Add res

Date of Birth Phone Nbr Birth State State State State State Race

Country of Birth

Country of Citizenship

Additional Citizenship 1Additional Citizenship 2

Documentation Exception

Miscellan. Nbr UPIN

Non-lmgrntAlien

90 DaysResidency

Sex FBI Card Date

Citizenship

CMC CIrnce StatusCLEARED

CMC ClmceDate

10/05/2010

NICS CIrnce StatusPROCEED

NICS CIrnceDate NTN

'-10/05/2010Relief Status Relief Date

Foreign Address InformationStreet

City Country Province Postal Code

RP Comment Date: 08/19/2010

RP CommentsEMERGtf

Creator Create Date: 08/19/2010 11:10 am

NTN History NICS CIrnce Status HistoryPROCEED

CIrnce Date History10/05/2010

2

(b)(6)

(b)(6)

(b)(6) (b)(6) (b)(6)

(b)(6) (b)(6)(b)(6) (b)(6) (b)(6)

(b)(6)

(b)(6)

(b) (7)(E), (b)(3) (Public Law 112-55 125 Stat.552)

(b) (7)(E), (b)(3) (Public Law 112-55 125 Stat.552)

(b) (6)

(b) (6)(b) (6)

(b) (6)

RDS Key; 60601035For Official Use Only

Comments

Page 3 of 4

Text

AOR. ACHC HIT - TO TO PULL TECS DETAIL.

TECS CLEARED

RECD AO EMAIL DTD 9/28/04 REQUESTING ISSUANCE OF LICENSE. EMAILREQUESTED CHANGE TO PREMISES ADDRESS ONLY. NEW ADDRESS IS119 WALNUT ST AGAWAM, MA 01001.

SAF CODES OF "RECALL INSPECTION RECOMMENDED, WARNINGCONFERENCE HELD AND WARNING LETTER SENT" ADDED PER Pll (Ul #762055-2007-0208) DTD 3-31-08 FROM A/Ul NUMBER: 762055-2009-0019 A/ A WARNINGCONFERENCE WAS HELD IN THE HARTFORD, CT A/O ON 1/7/2010.PRESENT FROM ATF WERE (ACTING A/S), IO

AND IO . FOLLOW-UP LETTER WAS SENTTOFFL 1/29/2010 COMPLETED

LI10081603113 APPLIED TO THIS FFL $0 POSTED TO PAYMENT SCREENINSTEAD OF $90 LI10X APPLIED TO PROCESS THE APPLICATIONRP CLEARED ISSUED LICENSE FAXED THEN MAILED

Ul NUMBER: 762055-2010-0230 AO/S SENT Pll TO TOCHANGE IN FLS SYSTEMPER 762055-2010-0230 DTD 4/5/2013, THE FFL WAS ISSUED AN IMMEDIATEREVOCATION NOTICE EFFECTIVE DECEMBER 20, 2012. MR. LAGUERICIAHAD 60 DAYS TO APPEAL THE REVOCATION NOTICE. THE 60 DAY PERIODHAS PASSED, EFFECTIVE FEB. 18, 2013.ALL AA DOCUMENTATION RCVD AND FWD TO MICROFILM.

Create Date

07/30/2004

09/28/2004

10/05/2004

08/27/2007

04/01/2008

01/29/2010

01/29/201008/19/2010

08/19/2010

10/05/2010

04/05/2013

04/10/2013

04/16/2013

Create Userid

Control Number

LI10XXXXXXXXX

LI10081603113

LI07081 603526

LI07081 603526

ExpirationCode

3L

3L

OL

OL

TransactionCode

AA

AA

LF

AA

TransactionAmount GLA Date

$0 08/16/2010

$90 08/16/2007

-$90 08/16/2007

CheckNumber

001878

2131

2131

3

(b)(3) (Public Law 112-55 125 Stat.552), (b)(6)(b)(3) (Public Law 112-55 125 Stat.552), (b)(6)

(b)(3) (Public Law 112-55 125 Stat.552), (b)(6)

(b)(3) (Public Law 112-55 125 Stat.552), (b)(6)


(b)(3) (Public Law 112-55 125 Stat.552), (b)(6) (b)(3) (Public Law 112-55 125 Stat.552), (b)(6)


(b) (7)(E)

(b) (7)(E)

4

OOB Disposition

REVOKED

Record Center File Number

Condition

Expiration Code

Date Records Obtained

Transaction Code

Date Business Acquired

Volume

Transaction Amount

City

Disposition Date

04/10/2013

GLADate

OOB Letter Date

Successor's RDS

Page 4 of 4

Check Number

Record Request Letter Date

Successor"s Name

State ZIP

I «sn

5

(b) (7)(E)

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(b)(3) 26 USC 6103

(b) (7)(E)

(b) (7)(E)

34

Bank of Amerira \''() lit•\ ·1~(){197~(

\!LI~IU. ( IL'lili~~J 5·: ;S-t 11, k:)ll\ S~.:n i~..~;· .\ti:nl:t ( i, 1\ c1 n11~

(7"7'()! ...,;_{(~~-lt

• d ~ ~ !;

;_

;;.

..

'.

35

I I

-1

I I

OE.P~cif me TR:tASURv ~U OF AI..COHOL.'T~ AND AREAN.."S

CERTIRCioilONOf-·~y.."lTHtOU.~C-~G~)l8i ~·- , ... -· NOTE· TNEPCRSON(;t.RnFYINGffiC/TJZENSI/ft;'M<.J:,r (--~~It: Tr"S'o;,,;..r

(AKenfnesrr...,'Sft'l' ~-.,;"~,\ ~:_..,czytY-«. L'ETJt.AS Mli.I"'Y'~..!. .. ----------

~Im,r.CA~-

Vcu MUST e:ompfQthitl c:etttflt!itionor ATF~Nott~e=a..=;~-upcn-yout 4;:r ''oft~th.it ; ; ··~=1ft bt rvtum.d'!:D.,O.... 18 U.S.C. 922 (g)(S)(B)gonarally....-s,ll ~fQr .-y ~~to ~or~ iftinkc'1Mta a; ~ect:n:N=-ee.. or~inet~CUftVI.,.rco,ony~oracwitut..,!vtt;twto~anytifeonnor~~~~~CM" tuou&pOI'tMik'l ~or FOR!ign COii*tclt:e.

A norummqan1 allen IS an a~ rn ~United StaleS 111 a nonommqant cla.ssduklfl Tho& flt>tfitoon o:-~uaes 1<1 ~rye part oets.ons ~ t&mpcorll:nly rn the Umled StaiM fof biJ$fMSS Of pleasUfe. persons Studyn;'j on the Urllted Sta11?:s "'~ :lU=Ot\lf'1-' teSX)C<o:..'e atx03:d .!00 Ce<W'I~' ~ ~~ The Cf,t.lfl/')lllon doos NOT mcludo permanent rtos.dant aloeftS

. •

H you _. • cilttttln of tNI UNJTED STATES. skip to qe.-sbOn 1

. i ... J. j __ I

"""'"" """"

t L.

II-.....__. "NO", -lo_.:.o<_'"'_'--7-·----------------------------ATF f S:U0.2il (3-2002)-

36

j

! I ,, i

I I I I

--·---------~_!~_151,"2~"""""'~'---

CERURCA noN - CgNT1'Ni.JrC

6 Nyou ~ "YE.S" roques!lon 5. you MUST answer !tie 'loll~ Questl"JI'lS

a . .&.re yOU 10 ~S.S110n ol a v6ltd htllllmg bGen~ 0( ~ ia'tt~~"?<W,in ttt_e Urut{:_d -~-~!e~? M:;wor '.YF:s: 01' 'NO". Y-f:S: __ . • ~ 'f'OU ~"YES". com;llete ttle !oil.)wlol;l· ·n -'----f_~:f.d_Y:Z:_3=~----· --..-.-i!16

1.. ... .----~--:c<:·-~----

...,unll~ u<:tlnse-'permclnumver. " any :,.tAW o cs.su.anr;e cxpuabon outa. ,, any b Are you en olbcoo! ~~tdltllit! !:If a hxetgtl ijJ"<emrTtefl! .....+u :s lK'Cri"'ddted It) thto Umted Sta~ ... Govcmm!!f}(.2f yottr Gov11mmenr'~ mlstlion ~ o;r, ~rr~l o:-g.v-~;at:ol'T t:a~~ 1t<; he'adQur:r1&:~ ..1• the Unrted St'!:!e,;.? Arts.\A.ttr 'YES" cr 'NO' A! __

J (

Bwicsu of Alcohol. Tobacco. Kneantii 4nd r. Federal Firearms License (FFI.) R E N E W A L Application [yj-mm

01-CeAtEn IN FIREARMS OTHER THAN

ioK IHJF. i'KIOR TO: !•&*«>«*«• t . 5W7

: $90.00

Method of Patmrot

iX'hl 1 inj Vjrni

! IV! \

f ifxrjn-

T'»THt

MAH. APPLICATION &

E ' j- ..! isa nxjtcM:n^ [fa! i Lrtki o

f -i £ iiv'-*E . |" ;,*~ ien

(-••' tiM-

NOT RENEWING?ihii ippJkalloa and joyr flrctrnis rtconh

|

j

1?*v-

A I ¥ Oat-of-Business Kccartfc ( VutcV244 N

ATE".e»i> NOT

1 "V asibecurrf b\: ta cs- tftrr ifcc cxasrttKKS siztr ot tar

A. Ct'RRKVl fTL urorm*ik>a

i UiQUERCIA. DAVID

' v'

RSVERVBCW SALES

4 PROSPECT HIILRD

- • f*?T !W!NDSOR'CT °6088'• iiooaivERRD

AM, MA OtOOl-

"1

NtWMdfaK

1 t

i I

J tuwi Uv« *•> I \

37

(b)(6)(b) (6)

!>!*

*!

ti&'/i

liS^M

^fe

.B

^î

isis

staM

OT

iSSs

ii

38

(b)(6)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

0*14/2008 11:37:54

lU£cft&6 Hutntar: S OS 003 01 OL 01035

'W: License«Namc: LAGUEHCiA, DAVID E

siness Na,vw; .RIV(fRytEW SALES

A PROSPECT HILL ML)

Cfty: FAST WifviUSQFj

Street: 1100 RIVER RD

City: AGAWAM

OS/01/2005o t veti jg t aie

04/01/2008txpingiton

Stele: CT Z%* Code: 06068

StaSa: MA Zip Co£ .- 01001

^ Hacetve Gate RgoeqtftM Daft:08^8/2007

TECS

J

COKftSEWTS/REMARKS

INDEX CODES

39

(b)(3) 26 USC 6103

(b) (7)(E)

(b) (7)(E)

U.S. Bepasts&ssS af Jestfce

Bureau of Alcohol, Tobacco,

ft Field Oi^-f>v

March

76203

i "TJ• - J>

I--L- • ™

--J .'_"*- i'CF m' .'.u

Rjverview Ssles4 Prospect Hill Rd. (RT)Eiui Windsor, CTG60SS _A^TDavidiaGucrcJa._ - . . ~~~ . :;"

FFfc # 6-06^003-OI-OL-01035

c.rDe«Mr. LaGucrcia:

'.r- J

Thifff*is ic response to j-our letter dated Fcfaraasy U% 2038 sddrcsrod to the Sostca FieldDivision of the Bureau of AJcoboL, Tobsxo, Fircanns sad Explosives (ATF)- !a y«irletter, you request a variance from ibc recordfceepmg req«Jiemc«s of 27 CFR 478.125 inorder to utilize computerized acquisition and dispositio*! (A/D) records in !i«i ofhandîitten records.

; is approved subjectAfter evaluating your request, we have determined ihslto the following conditions:

Your system must meet the regulatory rcqairtraenis for recordingcrtincn! Lnfonnalion (2ZCFR *7S. ! 25).

c.

The system must allow queries by s&i S rjiimbc*. jtname of the nutnu&cturer Commonly recognised trade nsmesraaybeused when dcno ig aaEâfiacJurer/iznportcr.

The system must have an acceptable daily backup for ali databases.

The system must provxfe periodic printouts of all records:(1) at least setniaprnuliy,(2) upon coqacst of an ATF offico-,

(4) when the ticeosc is

Printouts must be retained until the next required printout is prepared.

40

(b)(6)

41

--,~ ,--;--·~---.

The pri~'t'ftouts !!lust be litnitt:'f:l r...ry; nnly t.~ inf~..!:.tic., ~tti•·~.;d ~ specifiod by 27 CFR 478.125.

c. The comptlltt printouls must contain fut:ao:ms in mV<!IlW:y as weU as all .fueums ll'1lnSkm:d during the period ~ ""'~""'tioi!y by dl:lc of acquisiti.an.

f. The system must rerord OOih ~"' llllill~ ..00 the trfii'O'I<:r of r"'"'ll" .nad<:; fuez::-ms..

g. Fiirit<)UIS .. may iiiclii!CJii!iir"JiW:I.-flirilliX't. ptri..i....OO ""\'.or O.iier antique lim!m!s. but aaoot include Oil= maTho• rlise. Howe-• ...-. iireanns not subject to.tht: Gun Coutrol Act (GCA) ~ mnst ho identifiod IS • ANT in the type coluum.

h. The name m:!!! ~ <>~:- &1111 fill! FFL ~ ofibc supp!iafc<oc;;igncrmdthe~ ll1USI be iochlded in the ~ Ge!a. .:&.n ~At.1F Foml «73 t:== e :;..iii u:-~=Y ~ u:ii:d i:u. lieu of the address 10; ~the ~of a fu=m to • ooa-liccosoe. if the Fonns 4473 are filc:d ~-

'· The system cauoot rely upon in\o'Oiccs or ocha popctfmmual S)'Stt!mS 10 provide any of the requUal. inbtmlion.

J. A TF docs 1101. issue bbrlkd operovals fiw commercially mi~k: softwore progranis oor docs it ~ aiiy particubr produ<:t. 1\.ny cM-.gcs in aa "''P"'wxl s.y$ieln must be subaUul:d lo the Din:ctnr of !ndus.tiy ~.s. for ~~aud ~ alollgwith a ropy of !his klla-, ~to impl<:nientation.

k. Upoo ICmlinalion of a.~ the li<== must provide"" ASCIIIC:l!t fik: (in coof<lnnity with ~.Siaildorils) md a file desc!~ in .oddition to priDioaiS of all rccuds. to the ATF 0et ars...m..... R=:!s Cmltt. The ptiabllliildASCII tat fiiCiiloist.OOadlia tile lillloWiD& n.Mm.ilioo (as p~csaiibcd in T1 CFR 471ll25(e): the.-, Of~ the-~ or the.""- ili'ld lietme 11i11111Ct:: oflilc pen= licm ......, the fittann- n:a:ivai,; tile wme of the ID!!BIIfal:mn:r IIDd impocta (if•y,_

· ---. mOdel. Kria1 tatmba. eype. ....t the cabbc.- or gauge·ofme tir&rftl.-dle-date of the disposition or"*"' firellrm. me ......., =<~ :<!d:ess oflhc pcr.;oa to whom the firearm. waslnlftSfcm:d. ~.the - aud license number of !he pcnoo to ..oom !he fitunn ..... tr=fcmd if~ p<noa i$. liccosee.

. '·:·~-'"'

§' ' " . ' " ' ' • ' FUvcrvieivSslesE "-'•H - -

|j . • • • ' " ' '• Ai!requiredrecords,includingacquisition/disposition records, mustr- ' remain at the licensed preraisss.3H

g .;, tn. If a business is discontinued, all records must be forwarded to the ATF| '. . Out of Business Record* Center in accordance with 27 CFR 473.121.

§ - , A*, indicated above, you must provide complete printouts and an ASCII text file (and fileI description) of your A/D records and el! ATF Forms 4473 to the ATF Qui of Businessif Records Center upon discontinuance of business: Tile records should bt submitted to the| ,,, following location:H *',

| : ATF Out of Business-Records Center8 . _. T44 Needy feoiwi"

;; Maninsburg, West Virginia 25405

This approval for Rivervicw Sales to use a computerized system in lieu of handwrittenA/D records is conditional and may be withdrawn at any time should administrativedifficulties arise. Wi£haVawal"6fap^raVal"w~6uTd~affcct each outlet operating under this

A copy of this letter, aJong with a copy of your letter of request, must be retained on file«t your licensed premises. The letters must be available for inspection by any ATFofficer.

[f you should have further questions regarding this variance approval, please contact theDirector of Industry Operations, Boston Field Division at (617) 557

iOcerely yours.

Cc: Area SupervisorFederal Firearms Licensing CcnterFireerms Programs Division

42

(b)(6)

(b)(6)

iTPf* i.. JEv iS .

1

'. , ". -.

43

(b)(3) 26 USC 6103

(b)(3) 26 USC 6103, (b) (7)(E)

(b) (7)(E)

2: UJ/NU^S* (OAO. S -COOa. ASS&aWi iT MO., P.P.G.)' '

0080030171010

£ VALUE OF TWt WC«EASES

WAUIE'OF.JCUBIS$ VALUE OF TAXES VBEflPED

onduced begad on sn »«irt to Laa Difafcatina f aadCTg^daatoafesScSfass^sOnoa hi ..... liy * b>a*»* *** fcugajaon. B wa roafiiaJ feat tta FFL fcad

<^^ttai Site* «a»

Tracts '=^33 olio M73

• -

. F n»i • f f tort an 'i ..... • i r i* iljyi. faa .if>B- 1 i 18«yetam far jvooiti fewping (niom «iBiBli»n to aaua » bafcg

44

(b)(6)(b)(6)

(b)(6)

(b)(6)

(b)(6) (b)(6)

(b)(6)

(b)(6)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)(b)(6)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(6)

»JOi £!rCOOE AND COUNTY)

Assignment &&& «jagaES&S^GSSSgT^

SALESMB Ftotd

>'•;. £*si Windsor.CT 08088. Hartford

2- U I. NUMBER {OHQ. SEQ. CODE. ASSIGNMENT HO..__3. p£R&$nvuceNSE Nuwsfri

6060030 l7tQ)03SFE j<$b TARGET MOU^S

I 40

5. REQUESTED BY (SIGNft"RffCL TntE~Af* OATS)

12. H»e AGCCWMTW3 CAT*

EfVS H«S6 (J*OKTH. ÊAR. HOUHS)

Js&t Kii>3 3.FES 2003 2.00

ATFomqarssusioT^ 124.75 ATT CFFiCQTS SfeWARIRE". ^3 ' > ( /O ' .

f®ftSWCCft8»Nresh(OfteCOM!W£ÔATK)WI J, — a _ • ** ,_J

-*£aoto»«* a wftKâunScd tooo « Ttwfl/to report ATF F 3310.11. Rjur viofciioos wow «bo Cfled (tunnQ *»e iosp«aiotv

EwMd on ATF poScy the PR. nv*l criteria fot

Viota WC «* WL end ItecaB

0 REVIEWBJ CONCUR V5 SEE COMMENTS HNAL DtSPOSmON

• tnduairy i CTREVIEW DATE

03/50/2009

SEQUENCE AND DATE

C. .COWITtGL £!!-£ POST

45

(b)(6)

(b)(6)(b)(6)

(b)(6)

(b)(6)(b)(6)

(b)(3) (Public Law 112-55 125 Stat.552) (b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

BEST COPY AVAILABLE

FIREARMS SPECIAL INSPECTION REPORT

Name: B«V?d€.LÔqeaie l-I#: 762055-2Q07-020S-BIBName: . 3j!(isS4 $S*ss : . - FF

Address: 4'i5rospcct-HiH Rd

i - "

yfcîaft

This w» iSs PH-** flant compfancea frrmrm ma

and other \iobAioas iftcfajd* book&ee mg errora.

P*»e I of5

46

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)


(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(6)

(b)(6)(b)(6) (b)(6)

(b)(6)(b)(6)

(b)(6)(b)(6)

(b)(6)

(b)(6)(b)(6)

(b)(6)

(b)(6)

FIREARMS SPECIAL INSPECTION RKPOKll

Name: David F. UGucreia U0: 7ft2055-2007-0208-BlBTrade Name: Rivcrview Sales £"Fi.S: WK^H)30lOLO!Oro

i.e.: transposed serial tf's and duplicate serial p's cmerwl into the A&D record.There were also 447? violations including failure to recertify sml failure to

-.'' properly complete section's A and C cf the 4473.

h ATF poHcy indicates that based on the number ofsircsnu? ntiss'.ng siVr'$ !CCO!!C!!laU 3) ?uat he foils beyond flic tlvreaioki for scvoc^'.Joawt'iiisM-'L.^ However, ba on mitigating circumstances an alternate rewlirtkK! ss| recomm«KJed. Due lo the number of fircanns recovered by the CTSP from| nd who possessed (heni. it is unknown i !."> addiircna! .w Hrcarms were in fact stolen as well. A<Ms!tOfta!!y, t!ic Fl-t v O^K.-T YKâfions| «/ere acted on immediately, fie sbo 'eo an i«uialivr Sw aKvxrraiK^ and^ rmplcmemed .1 new s^-stem for record kceptna (FTK>*T; s-tcv:f;i'»r. to =Jcift;S ;s hcingg practicfts).R[4 - , , . - ,-_ cvni

.s . . . ' ' AS SUCIL InyesigaKir rccw^jiertas artd ffi«srns!ertiotusion"0! «O>\,I WC and RccaH inspc ititin one yea.

3 '" ActtoWRcsattsATF policy indica£es th^ based on thereconcii;asion 3) that he falls bcyood the OteesS*ftW foe irvoc3ik>n of His FFHowever, base n miogwing ctruanstaoccs an uicnucc (cstwoekHt tsrecomrocnded Due to the number of firearms recovered by the CTSP &oni

who possessed ihcm, ilisraAnown if the stMitionalstolen as well- AiklrtiottaHy, the ^ :FL*s ot vrolzoo-ts

were acted on tmraediatdy, he sho«-ed an initiative for coopcraton andimplemenied a new system for reconi keeping (mope sftcnGofi K> dcuii is bcpraclicedX A Theft/Loss report was filed by the licensee suhsoqucat toreconciliation reflecting ihc k»t/sloktt firearms. The Thcft/Lo&sreHccis Investigator m«es as to tf reco\-ered ftreanns«ftd thmissing fircHms. R (Exhibit *> !-l (h should be noted 'Jws theoriginal list from the NIC contains ooe error, there i firearm KsittS on thelist in duplicate; the Hst shows irearms aod the Ac number is and theexhibit can be referenced in order to identify &c error). Additionall muiripieretraction theft loss reports war filed fay the licensee Airing the course of theinspection (Exhibit #13-13d). NTC was contacted to obtain iafonnatioa onhistory. This cxcrtise was also conducted to verify if any of the missing unarmsfrom the FFL's inventory h*I been traced, see (Exhibit «i2-l2bb),

No referrals

Pace: ol 5

47

(b)(6)

(b)(6)

(b)(6)

(b)(6)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)


(b)(3) (Public Law 112-55 125 Stat.552)


(b)(3) (Public Law 112-55 125 Stat.552)

I FIREARMS SPECIAL SNSPF.f TION REPORT

I Name: David E. LaGuercia Ms: 7(i2055-2U*7-O.J08-BlB1 Trade NSRW Rivcrvicw Sales M'l s: WKwîOl.li!0*51 5 - Closine Actionsjjs On 12/18/2007, investigat a conducted a closing o«iferesice with L>iviJ3 LaGuercia, owner. Invest pa informed tlw Ikcttstt t!ia.l Ute inspccikwig resulted in six (4) cited violat he licensee signed & copy c»f ATF form| 5030.5, Rc[xnt of Violations (Exhibit # 2} end was given s copy. "Ilje fcgu£atoi>[t I'cquiremenEs were reviewed with She spplicafit including secure gun storage and^ safety device regulations (rixhibit ff 3^. "!*hc appHcan! was pfo\-k!e»J willi signed s copy of the Acknowledgement of the FedenJ Ftrefeniss Rcgiii (Exhibit #4-4a). Tbc applicant was also provided with seid signed a copy of tits| Certification of Secure Gun Stpn^c CHf.Sfefety Devices. l"hc appitcaiit was ilscg provided wJlh *nd ygo&d a cojiy of ATF fo?Ri 5330.JQ, C*«tiSc«rtK>n ',*fI Compliance with !8:U.S.C 924gK5XB}(Estiimt ^5). Tte >!ic ii ««i gsvcr,

| the State Laws as£ rubiisiwd Oniinaaees. The a?jpiicanK was jg\cn sii

| Fircamts LJcenst*. A wsnnag Seaer WBS issued so tise e^&iicîtf tktted January17, 2008 (Exbibtt 9) and a wsarung confcrcKc is schidukd for Fsbnary H.2008 &t the Hanford Area Office w«h David LaGuocu, lovestigst a sndArea Superviso ! sad & letter UF*S sent to iSw FFL advising him ,(Exhibit #10).

On Fefcrjary 13. 2008, «w FFL mci wiib {r«vcsog*« a «i<l A»cai for a warning coofererot asJ a foBow i^» ktis- n* » the FF I.). At such time, she FFL expressed tntercs? in applying for a

variance in order to marc accurately keep his Acquisition sn4Records. Invcsaigsto » will be (bUowiag BH with the R I, in onis toprovide him with (he chain of action fordotngso

6 - Yjotattotts27CpR47S.I25<e>

Nature of yioiatic.a: Record of S-CCcip? sssdThere we instances of failure to record the disposition of E firearm in £ timelymanner.

Licensee's response: Th firearms were logged om of the A&D record awd mthe fusure UK !:cens« wi pay n*ore close aatstbon to delail.

immediatel.

48

(b)(6)(b)(6)

(b)(6)(b)(6)

(b)(6)(b)(6)

(b)(6)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

FIREARMS SPECIAL INSPECTION REPORT

Name: David E. LaGuercia 1 1«; 76205S-2(Kl7-O:i)8-aiBI'rsdc Name: Riverview Saks rT!.«: 6060050 UK ,ui 035

Maf&rff ofyiofati'M. Failure to properly maintain A astd D Rsoonis.'liters were lots' Jostanccs rrladag to rhis violation JrsSzner: Inv^ved

#'s and instances involved transposed sc-.is! #V

Licensee 's Response: Licensee wiH monitor and nwitBtam preys' A sad DRecords.

rw Action: Ucensse ctwrocted A and D Rccwrrfs cn

i&ssor.: Fahsc tc faEve-unh*fc. There w*s

IJc&z&e.'s Response*, licensee s*scodwas made ctroocottsiy-

: Licensee :was given iontfl 1 L'!5A)7 toctKTî the 4473

Git: Fashirc to property exectoe ATF ftwrns 4473.

[leans 1 la (2001 edition 4473) aud/or I2a (2005 editioa 4473) were aoicosnp!«ed properJy.

TStwe wer isj£ase€£ p«ft a5ag «s tifa visiles

Reference Exhibit # 7-7a which is repicsmtaiJtvc of th ms*ras:e<

Items under section A of the 4473 were ftited oat incorrectly, mconipJcidy c? kfthlanfc.

T&trc ««re iiaaoe* pert»iaU»s to tfcb

Reference F_xhibU *f 8-Sc which is n-prescrrtaiiye of (h ii

4 total instances under 21 CKR 478: U4<cM 1 »V

> Response: I Jcenscc stated rturt the vwlahons w-crc tmtntet«>onaJ *nd

49


(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

F5REARMS SPECIAL i NSFFATION wK

Name: D«vi(i FL UGucrciaIrsdeNimv: Riverview Saks

wtfs msd& errorta

I I f f : 76205S-2^'-7-Q2G8-BEB

fn^ Action: Licerwze w?*s givtsn smiii ! I ,'! 5/500? !cv KHVC? (He 44 W

of WorksbecBd

report.EOV

Title

cf Fsdssl RJCS-SES

;,. Copy of 4473 presetting nabace uae$r 27 CFR47K2i(a)2? CFK 47U i £4(c^t >

Copy of WaraJng OnfcrenîT^:'/' p^ of Vîiifflg Conference | ^»!2-Ubb: Crispy of NtC iwpictt awto câsy.

Bxhkbit* 14-144: Copies of FFL transfer «d 4475 t««r?w.

50

(b)(6)

51

(b)(6)

F'IREARMS 1Jif5i"IOCTION ·lnform•tloiUll Pant;· Sll<>rt<:aU for Worb>ot<"

; ' i

NOT£: ('ells hlaJ!Uptod lltllg~l JITt•• oomml• formal ...

- •. --- ···~------·----

..

i

'I I

I I

HREAKMS INSPECTIONitiforntctioK attd Statistics for

,, Report EVcparatioB **d Ober Program

sm^ iaKag*y teBiafe:p^^riJg •¥ • rfjRT'iH ^ *-*tf'J-J? V. £^^4^33'^'

[Total^ nu!T)t^rof fLpcania irptwicd_Mo!c¥i-^ttS!iih.gim the•JA-a !?f -'•ftV •! •

""" ~~\l N u r n b c r of Firearms m Jnvcriton,'

Total Number of Firearms Kv~B<Hii>d B<x>i: Of ihc JircasTits. in ihcp<\v*hA«»n ofT-lumncr of^ Insert-pane tc

Fircarnts Mtssinp/Siolcn'After

There v>ct f 'IRD errorsNumhcrof UnfCPortqJI.MulUPJC Saks

%mftvtfla#iPc**ijrn—"aa—*"TT

Number Qnrircanns AcquirK^m rite !as< 12 i

I Percent otTircarms thai mr used

^fianber of Firearms in Inventorv

478.124"^ Sect "A - Ccmrication of

478.99 - "Yes" <no< prohibited*

ATT Fonss 4473Tola! Number of Forms 447.1

IVrccni of TotalPcrvem of Tt>tii

S124 - .Section A • Other478.124 - Section B - ID & NIOS

Failure to obtain ID

Percent of Total

Pcnxnt otToul

Kil

52

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)


(b)(3) (Public Law 112-55 125 Stat.552)


(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)


(b)(3) (Public Law 112-55 125 Stat.552)

(b) (4) (b) (4)

(b) (4)

(b) (4)

(b) (4)

(b)(6)

53

(b)(6)

~1'1.-: , '(':'"!•-'5'-L :,; Bwnd

. Book 11

Jlefmnce

2

)

I

'

W.~Jnufacrun:rf

Importer .

Mudd Typ' · Ca1Jix.7 or

G.J.ugc

I I

.

D•U! RcceJvtxl

'

i

!

'-

Traced 'r'c~ :\''J

I

Date TnKc-J

I

"I., ·-

Stoj~n

Y~::;.':-..:o

! i

~~-----+----------t-------i---------4--------1----,·------··j··-----------------·j-··· ···-----, ' !

! ··~·-

' I l

! 1--+---+----------t-------l·------r··------j--·-·-t·----·j---- ------1-------}-----

1

-----···--·---·-·--------·-·-··- ------------- -------·--· ----· .. --

~h~?lCimu

hrcarm Yes/No

I

I '

-~ ' i I

I i I

' I

----------- -----·--- _l

54

(b)(6)

-._.,_ ·'

-.·---.. , . - ;.··

. '-· -·' ' . ' ,_. · l~ 1,....11•" w-...0 .

' '

~_":' To~fyonddo<Ument i," . · . :tM ~: :tl><)' "lfor;ramc~L~ 0 ind><r·toro. ' . ··-.. ~·:·"·-···-· '' o,nt )1 n:vielv oftl,>t ucensc:<&l7><c htoto1y: Oulme LEAD: dilpo1ortlon O<XUJJ>mtll ,I~'<'• A&l.l I){XJl:, ATF 1-orm; . .U7J); nnd 111!- Forms J.ll0.4,

I o{ '· ; Sales: and .m; fiT'WTlll wu oonduc"'<i_~tif;;_ .. c 'activrty. .

1.!dtJft, to H.f~rrJI!. . ~o-m~- t ~~ ::- ••• ;~ 11:~#=-~k~ Ia , ... --· Otmlhi copolrr. <f ATF F 4473 •0<1 A IT P 33!0.< ""~ 'ttad1 Tltlls

......... , L1 ~'•m~'"' ...... '

. .. ' . ' . : ,·:c' <>: n~ . ;. :. <

I""Y"'. NJr.lC' I fOi:ndcr: 'Her Wcig'll: 'R!'ce ~~i1tl Sr::curi:y ~·T.:':J~·:

I 1

DOB: jPO!l: , Type, Stole at:d . I '

' . '

Dakof f-'!HIN Olrb<r' AT!' f .1.110.4

N Manu focturcr !lmporu:r Mod< I !kflal Numb<r l )1"' (\ltTTf\~C"!d Comn:cr:tt Pun:hu< 'or Onto

' ' CtaLJfL&C

y,,' ""

' '

____ , ___

' ~-... -

i I I

.. w•- -- -·• •

! ! i ....... ---. ---·. ------ ... . ........ --··

'' --· -·- . . --·-- ·-···-····-------.

-·- --- ... • ~ 7- ""'""""''"r' • •

I j .... ._.,. ___ ·----·

• ' [);r;o ..

i . ., __ . ':· .. · C' . illli)!.m ' ·. ,: ;

.; ' ~-- j,_c,, ... ,. " ', . .,.,,,... .. ,.,

4 C'1 j :· ro·~'";'.'"l1 rr;;~ft~)r '

55

(b)(6)

; Tli:CSINCJC.'NLETS " II'URPOSE: To • purch&~crs .. lcctC<I for Tl£5, NClC, NL!ITS, an<llNS qcw:rics to verify the

. ATF Fonm 4473. . aro: not F"'"'"'""

A .. mplc af]>\lrchascrti n:corckd on A Tf Folllll> 44 73 for the mtp«:tion pcr1od wa. selected m '""o··don:·e ,.;tJo tl1c !JJdu•try Cpoco '''"·' b·e<t1gato:: local · , ondior · .

Non::."."' ~"•illbcmadeforp•• ••. U ~.- ., ·~ 1!0 "'~:::;, lio[><prcpr.rr<lln "''. ·,.~ , •• ·rr l' Query rnults will b<ln<loded wilh tbe rcl'ot-rol "'on otuchmcat. T'· -; ~. "'""' '•• •ro£ roqlllr•ct !<> 'bo •nrn~d Into ;-- Sc

......... s ..... I llll llatlea . . .rHG .

'

44 7.1 S·'?' Race/ Ill Ty)'X' anJ Manufaclurer/ ' CJlihcri H1t~

~· /A,L'"'' !XJll• I'Ofl !I'll WT ~~c'(l :i ~.c;nal ~umber l'ypt: or Dale Sex: Numhcr lmponcr Gi1U8e Yc~/No

''

I

l i

I I

i I .

i

I

I i

i ' ' ! '

: I ' i I

'

I i .. '<nl."»il{>fl of llrl>:

I

I

! I ..

~! . ; 1>>1.~: ...

' ' '. ! 1::.'] &'J7

5 (~ 7 TEC;:,-,.r,:."; -.lr::rs Or.o<!td.t~ljl

56

(b)(6)

:

I

I '

l : ....

' H---··---+---·+·----+·--·--t-------·t-------+·'----····· ........ i - ....... _ ........... - .. - ... ·----··---!-····---:

~-·1-------··-+---t-------+--+------.. ·-··r--·-·-·-~·--.. ·········· .. ··+· ·· · -····· .. -···· ··-· · ...... -- ·-···--·--+-·--··--/

1-+-·----:-,----··-+-----+·--····-1···-··-+-------·---j··· .. ···· -----·,:-·----- ... - ... -· .. .. . .. -----.. ---- . -·- ... - ..... --+·-··-··--j

57

(b)(6)

--·-- ·----- ---~--·- ···-------

H' 1111-. If 1 hltt<lj,1ln. w;r., .·nor•: tht~.a one : pUrthJJ<d h)' tbt :~l'ifTIC J"fTJ<Jii'!

. ··- . ·-----·· --·- . ··-- ·- -- ·-····--!

RREARNSS INSPECTION

Eater the Ucâm** Nsssc ssd l;I£ & tfc? b*ra bete*? • Is -fee

" ^T"" "-n "C^^"^*^^^^',9^."l'f""-^'"j^-'^r^~fl'fl '- 'pgy- TTftj—=T*tf-gg;j>ips^gEyp:g •-"j*re-'T-B-£*M"- ^.-^pj-uiwfr ii f^-ff^^ • t ^^~ir t;- ^^^^ '*"' . "'''".-;""'!-—^^?^K'a^S*it*' -*^ .11--'2;:'1-''t:''i7''' "*

Safer &e fo er'v Nmt ssd D?jse ts pegssiafe

K>i

for ;fae Results Tub to N-S$**l

J47S.125 Firearr^ as A/D Bk V«-.fad y Pfryt h

478.21(1)

ATF Feita 4473 Scvicw Vbtuiea

4T8.U4(cX!>

478J24<cK5)

478.12«a478.99<«>

•47S.99

y fer Rqpart

0

0.

O

\sssa

[478.99Urg.ioo478.102

(478.124478.124478.124478,124 ~•478.125

Toul Transactions With Vto^wns:T«FlNumtKxof.Irs"«i?eteJES «J^s V i * - • *M-4a»<sis: ( .-Total Nisnbcr of Transactaescritis VroJaDcsa: 0 •>"'•Total Numhtfr ATF Fwm 4473 Rn.-kToul No. With Violations on F 4473 Ccrtukwtoo:

' ".' • ' r-L ":. •', '"- - . :

Toed No. With Vio£aiG*3caF 4473 Sector. A. {Total Number with OlhcfViolSioas:t-'ircartns ia Ph>%. hivcneEy Vctificd *

" ~ | • • • - • •.- .VD Bmi. !

478.125

47H.125

478.126a

473.126*

N»unber of Discrepancies:

Firenra Missk iokn aiwr Rectxaalnnaa):Total Number o*" L»mcport«i Mufcpkr S*fcs:Total Nianber of Guais kivol\-cd:

II • - " *1 " * " i1 °

* 478.99 is the sum or478,9^«). 478 9^b» aM 47S,9^c» *nd ihotOJ nm heReport Of V

NOTE:

<« the

58

(b)(6)

(b)(3) (Public Law 112-55 125 Stat.552)


59

Document

EXEMPTION B(l)

EXEMPTION B(2)

EXEMPTION B(3)

APPLICABLE STATUTE

EXEMPTION B( 4)

EXEMPTION B(S)

----



ATTORNEY CLIENT

EXEMPTION B(6)

EXEMPTION B(7)(C)

EXEMPTION B(7)(E)

DUPLICATE

NON-RESPONSIVE

STRING E-MAIL

1Gb L IJo. 112..-$.,

t,ts.s/;#. s~

Located in Document-------------

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

BEST COPY AVAILABLE 69

(b)(6)

BEST COPY AVAILABLE

'' * * --}-'-{* i'11' i *

!

~r H™H-H-f

?TJE!snHBWiw(H!T*r*^r^vr3^R7i'T!rrfrs^^ Mfji3ittK:QsULwsitaîii&ii3*«4&^^^ i.u^ .•• «!.«•:...!•.,,„.. ', .-^;.i1;,:;/x.—v^^^-.j—J

70

(b)(6)


f— S

< :*

E

ui i

« _

^ ^

,

IS

71

(b)(6)


72

1 1:' 1\ U 1'..~ i:"l) YY 11 llll.C.LV H ~ L' U LID

Document

EXEMPTION B(l)

EXEMPTION B(2)

EXEMPTION B(3)

APPLICABLE STATUTE

EXEMPTION B( 4)

EXEMPTION B(5)

----



ATTORNEY CLIENT

EXEMPTION B(6)

EXEMPTION B(7)(C)

EXEMPTION B(7)(E)

DUPLICATE

NON-RESPONSIVE

STRING E-l\1AIL

M L 11/o.I/Z.-Ss;

IRS"' sfat s-s-.t.-

Located in Document-------------

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)


(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

BEST COPY AVAILABLE

of Alcohol. Toicca. Fiwami uid gxj

•*" 'iiKitniottr.n ' • " " """P*W*c wriw finnirwidj a tnH jicfctf pen n-bcTJ compkiim tliu turaa. ATF offkcTiril! prcfwr ihiJ fc*VJi hi irif \xrtf. 'Die arijjfvi:.'..' cc(>y »'!!! '"• jpf -."'ir p-;pr-;m;;v:.;.fefc'M*''*'''1! t'V*** «!'l be w;i-niu<Lfd with l!«

80

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(6)(b)(6)

81

r~, '" ' ..... ~·· ""!::

\rJ

·',t ,~:

'us. O~rt.Tlnl d ~ ~.of Alc(*'Jj, Tohtc,:(t., l'~imtl al(ll!.~~o~th'C1 Cerllfla atio11 of ~.ecurr• ~; 11 ~· :''""'H"' o1·

SOfm.y Dr1i= : · IBIIIDOIIIIIIIll!~· ~IJIII!IIJIIIIlilillllllilllllllliJJIIIIi~EIBI'llll;J!IIli1ifillN1!li!lll~ilflil•iilli'ffil' 1-dHI<A~--boln ... ,;;;;,;;.;;;;~;;;.;.;:.;.;,;;,;;;,;;;;;;;;;.;:.;;..;;.;;;:..._ .. _____ .._~ii;;;;:;;------:-..... -. ..-n---·,-.,··~--·~~-~· .-\.1 r.~~•drtld t7 ~" t;.l.c~. 9JI(4), j ctnMrtii~Po tO:l!-;:;Jq or~;;~ tM e~;~;tt;trr~-,; ~·;;;- ~~~ ;-ri ..n~:F·--~ ftrni'Jifllllrt flOW 1rar~ !It'll! f"nl•ml fkui:tlll Ur.e:i'!!lli ,,,( pv:111tlH 11rh~ "'rc· ~rtiN'ftll-l!'fl. ~ k.'ftfl "ltl1:1tN a:rnr r110"7lt\11r If' uJdt lrrlu* mcwn-t tAJ 1 d~"tx n~. )l,h1n l'!Uiiaflt1J on~ f1ry.-u11'1. t· (k' ·~;<;c! '<1 ;'r.'o t!Y: rh<:. Orum frunJ !~k.i, Oflm'!N wi~ff f1l"''l de-nli\'Jitlnr ~-l[M.,ft"; (fll« 1\:t\'l-rc' II'IOOf~t'<f ut'.o:i!h( <'!t~ •r." :rf •lr lk,· trm tl1.r. ·~ Orl!liM'd !Q f'ft'''C'nl' fN ~f'StliWI frl'!hr flrHrrn b)< llfi)"I>TW rn->~11\etlriC n<;<;4f11(1 tht" lk'YI~: fr" ({._') n J•Uc It~''" ''-'·'r. r:••. ee.'llo". kKt. btl\, Df rl'tho::r "~"-~ ~~ i-1 d('ltifne>J w hr iff c;-.d btl u..~!l lei 1t"'" c flTr.",..r,r. tnJ lhrl )J d.cJif~d 1:• t"OJ •!fl; xlr•lr::~i~ ~) nt~~ rr1 •

iw)', 1 c-nn~lln.'ltk>tt, !)I" 11fhcor ~IWill.r' lfK*1t. . .__..,..-~-····~-----··-:----·····-· , ____ ····----~--·--(f;'·~"l(tJ N.wnt tf'NI'ft 11r l)ptt) t i\j"'flll~!"f(lt T~ie trl'llf'! C.1l" f)~'t')

WLJ,aiUJ!d.i~Jh~L~ld .. -Cht~w=-----.. --. ....... __ _ 8'"ttm~ Pl'l:mr~n ~·

(J,. / r·~ -' l - 12 -~' .!2._,"~-~::_ __

82

~ laiSO'ft'<Sf'to~~ Q~~-1~ltor~-.~ ...... 3..-........cr«J ~~{'or.-,

af"'Irf........--a-4~...,.-.~,.~~-~m.-o.-.,_ _... ... , .::!:J:'~omo~l"otk:aoletii ... ~.~""'-N~~~~IU: 10~ws.~~

.:~~~---...... ~~ ................... ~--- -20--0......, =::.:::r~<:-7::~1:::.¢..:;.::>::,.._~......,.:3.!4;-.w-..1~iWlli' O:Jnsutprm. b-

3. lu1lc:le Addret.sed to. .ta..M«.:ie~

Mr~ David La.Guerc f_a 70081830000134371488 ---Rfverv:l.ev Sales ~~Type,

4 Prospect iiill Rn~d On.; "" llf~

f.ast Windsor. CT 06088 OE~Milol o-Jill __ .. _ ocoo

: ,_:~ '] ,foy - ./f)>al-·:..e- :_ "\ -_ ~~~-.1-r-~JC-~---' -- M'd ..... <5 paoq:J ~ ) s.sv-. .e"'

X

VS. e5c|5£rt3sest sf Jfca

Bureau of Alcohol, Tobacco..

ain Street. Room 6 1 0Hsrtfcrd.CT 06103

Certified Mwl 7&20Rewrn ideceipt >JOT?

I---- Mr. Dsvid LaGuetciaI Rivejview Sales| 4 Prospect H-M Road3 East Windsor, 06088H FFL» 6-06-Q03-O1-OL-OW35

I:5 Dear Mr. LaGuenria:

\l!| 'ITiis letter is a follow-up to the warning conference Jwki vîh >tiu on Januan 7. JtMO. a: the AAK Ribicoff Federal Builtfing, 450 Main Street, Room MO. Hwlfiwd, CT «IO? Dunng (his]] conference, the violations cited during the inspection co\trnng the penod <*C AUJ.TIM \, JXK)S to£ August 13, 3009, and necessary «wre<ti\x: actkwi to psevtnt ihe *»Tob£i<KB from rc^ctsrnngh discussed

You were given the opportunity lo comment oo ihexio!alkxw and«Ka! sfwciftc action \-outalxn to ensure th^ the vtobtions will not rtocctir.

: Regarding violation number one ( 1 ) under 2? CFR 47S !28<cV fthkh w-as 4 REPEAT, for faitmgt; in ) instances (o propci!y maintain A «t D rcocwiis. Th;s vtolaison WJA con-ccied.\j Y ewproc«duantsha^«beenimpJemcmedtottip^|; distributor receipt physical invensory, scassscd mtentory, and ATF F 447^. In *tJd«K»n (o thek[ computer program, a manual bound reconi is kepi as 3 secondary back up and a print oat of theL ;. computer A & D is ftchecked to ensure daily enorics arc aocuraie. You and OBC oihar empSttvcej / arc performing a final check within 24 hours of an acquisition or disposition ir. cnsxsre the1' computer A A D reconi is accurate-. Allowing only iwo people access in the computer sx-sJ<mi has\~ allowed for 3 more controlled input, verification, and a hencr undeniandmg of the computer

program._ _ _

Regarding violation nun»beTtut>C*u»fc^?CTR^4^^Si failing in insUnces to obtain a response (Want) from purchasers uncicr Item * I Ib, t» I Id,H *I le and ection A of ATF F 4473 and for failing insianoes lo obtain aI compieic response from a purchaser to Hem #12 and* 17 of ATF F 447?.

83

(b)(6)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

Mr. David LaGueraaRivervie\ Sales

[] This violation ha-; been corrected. You staled thai VVHI and \» employees on." now Anihlc\= checking each ATF r 447.' form. Y'.KI further Busied Ihai y.uir enipkHw* MK>«* '.=<' .-uir^mij ih.^

nothing !ca\es the store \Mimmt a NICS check You ru\ hsrexl v«>* \2'\e c-ST>j<4oyees toassist wiih the increased sule^ volume. You were encouraged ?o >.ccL .'>-.iv= JHVC from l!»s otTivc

[. if you G! vour employc-iS Eia\ pfc.ee -Jure ûcîons.ti^ Re-gaming violation numiK-r ihree t.-1* !nu!er _7l i:R -i?s !^4<cH * « r \. k^r l_'tiir>i: !vu\«mpk-se tnJ5 CMK; ( I ) instance, hem f f ^ l a ihlan^K SevUonB «>1 ATF" F 4473. Iliis '.H.fj?u>n has hern ct". You staled ihK was an tt\'crs5.s:hi JIK{ \O«T emp!«t\xx^ !;IHI\«. the nik"^ JR*! ihr.: nctshsr.^ Ic

STOJV \v«ho;« a NICS chcci.

Rtijardinn vmiatuui nunihcr lour t 4 i unUci 27CFR47S ir>u*i. winch \\i\ REPH.AT.*•

"I"his »'ui! has been <."i>raxietl Y*HI *ieJ ncv.check the computer s^Ktn. disinhutoi [ttcipt.phj.Mcai m\cn<tx>. v.--r.n<\ tn\vn«*ry. and ATTF 4473. In addition *o the compuier pnvgram. a manuj] txn«Ki rcv.x'«J J.^ fcqx ji 3 xvîdory hjcup and a printout of ihc computer A v : D i^ oxhcvU-d ioen>utvdaiE> enino arr accurate. Youand one OI(KT employee are pcrt'nnninc a final chtvl. \Mthin ^4 hours v>4 an ^qutMiuvt t«rdis.ptisi!K!Pi tucnsmr !!«• cimiptiUi A ,t 1> re^M-Ji-i accur^c, AEkwMnsov.Jy :-AO pei^tle ,KVV<S.([he computer system hasalloucJ faranhnecomn^kHJ input, \^nlVa»iv*n. ,irj j VJLT

ihe comptiiei i*r>.*c: r;r

Regarding violation number l 'i\eoi :«teSei;-7(Tk47S S^*vi JW i'jsimc io ICJXMI .i«-J i tkr A IF r3310.4 -Report of Multiple Salem thher Oisptisiium «i i*»-J<»K .«*J ftc^^Kcrsminstances from September 13, 2t¥iS so Max _3. 2(WW J'h t ui*aanoe> mvi^xed

f'irranns Thi<. \iolaiion h,t-i heen c«*rrcvied, ^c*i vJjrted (Hal new mienulprocedures have been implemented ,ind ;« ihc end of e*h Jay a c«*mpul<r iraiiuple >-jk- li<t i-vprinted. The computer multiple sale hsn* compared uuho AH : F 4-473's. More jncwion Khemp paid tu tlw computer mîCh. altoos \»I" mulnp'e sak lV-«fm requirements. 71x- r«rware a little moic time consummu Hi! t"om*-» aa- K-in;;

Regarding violation number MV U*i under ^7 (*FR 47$ I ?VtHt fc*r i'jtlmc u» a-um (he A i i i;

4-173 record <.f denied sales \vt»en a N*C!S check w as (Vifc*rtncJ insSjiKcv ^'.ûsiaieti EhaJ no new fall de«ia3> had i<vaVve-J but the fiwrts v. ;!E K- lepi s! a Jes^ji c=:cuf N & liurfuture.

^ Regarding viobsion number >ev en <7)unckf ^7Cfli 47S.-i(-ii. whichI failing to obtain a carrcxt resptMisc j inânces «MI Item wl la. Section A •*! the ATF F| 4473, hem #25 Section B of the ATF P4-I73 and for failing I (instance tnobiain pmrvr| information on prescribed' I*»r A I r1 1- 4473.l You slated jjtwi'rc rnî sua' \vh\e happened. New empKi\ee> vxiii check wuh >»HI wnh anyj driver's iiccrj&c and identify ma qucMiOft$, funphuee^ arc «*n ihe NxktHii u* pxêniiai -.traw\i and "uilc-^ ha\ Kvn ictiiMÎ Y*wi staled \»ii will «e» it neht .itul (h,*i \«m -irv t i \ m c t < »

J run a tight *hip.

84

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

Mr. David i-aGuerciaRivorvicw Sales

You stated thai ATf; has sour attention and thai \ou are not looking to ejuse any rm>b)ems vtuhyour license. You indicated you take these violations seriously asui \\i\\v contsnuousKchecking and double checking die required records. You w ill make nxwv changes us rx-edcd to.•ensure coni^lisnce Vt'U *;i^cd that there v.is no cn

You stated that the foHowine nrn.-fic.es have been im

• You have hired part-time help to assist wuh the itwreaê*.! v.Ies volume= Yivu have :r.Mruc!sru rfe-'^-ly iureii iK-JpE;^^^ u:i!i >xtu v,!.'h .i;;> Jr-.-.^r"-, iidcnliflcalion questions

nYt»u are inple checking itw.- compîiej sv>k-m. ijisEfihufOf icec.pl, rî\NK.jI S jinventory, and ATF F -tYtt.* You are keeptnsi j nuiiuai rxuiviJ r*\'orJ .»•-. .1 tt-rRijr* ;i^.i,Ui*.

~ - ' * ' '

" You and another crnpio\x*c are perfcmrstns J Mna! inplc *j**n'k i»t she t '.»rnpi;:cr entr^s y. iths:^ J-!hours of an acquisition orclispi;>sition.* You are checking multipJc sales at the end of each day *o a c»«mjHitci rec«vd ar«i A IF T 4-J7 X*Your sslcs cmplo>ccs are revhccking a!5 AIT H 4^7.^ mlorm,tiu-rt ômpEcieJ hy ;Ju- cu(Section A) prior to coinp'ettns the fs rearm safe

~f}tfi violations foi whK'h VXH; were curd c*^W jj\tir^-lv tmjvv? Uw rRii'vivonvat"- ahi»(\0e violent cnnie ;tnd piotiVi she puMic You aie remsftded ât faisjrc \tis, a-pcai or

iMr. (.viutu IH: vicwcxi as u i i i fu i :mti may levuii tn reM*tJii*î IM ><«jt iuciix: 'i ou i:uyanticipate future irispeciions to en<i»v oora

Please contact us jt (i>60v!4<) if >o« hj\ any qucsiK^*. cmt'emsrti; u*;sr r»pt«iMNl!tKrs asa licensee or if VIHI rajuirc funher clantica»i(Mi jKnii pantcnbr requuenx-nK onîeral TircarmsLaws.

Area Supervisor

ccr National tjccnMng C=critcr-—Hartford (T Industry Operaion\V

85

(b)(6)

(b)(6)

U.S.

Bureau of AkohoL. Tobeoco.,,-450M5unHartford, CT 06103

December ?3, CSH

CERTIFIED MAILSETlteN RECE5FT

H"f1:

WARNING UriT£R- r ,n . .* . . 1

Mr, D<*v{Q L^GRive: '.-jew

Ess* Wiadsor,

Dear Mr. LaGuercis:

During a recent compliance inspection x wur firearms business coxrrtng ihe penod ofAugust 13, 2008 through August I . 009, you utr«r cited for uc&fcoets t>{ 21 vorfc ofPcdcraJ Regulitlitms. Part 47S.at the time of the inspection i

All violations were fully explained So ><iui r>> the BUTCAU of Akvthd, Tt^xw-co, Frncannsand Explosives (ATF) Investigaaor , You ind-iâtetl thai you understondthe requirements of «V fireacms law s and rrculattoniv You further tn&c^cd thatcorrective actions would he taken 10 eliminate future vjobnons.

The records you are required to majnwjn and the business operations v\»u conduct arciroportarrt to law enfotcement in our coniinuingefftirts to redi*ce \notemcnriK1 sod ensurethe public's safely, !l is c^scntia! thai you ontnpjy wiî all Federal b*-s a«d rcgyJaiionsIh^ govern your firearms business. A TFappnpciaBes the- efforts )r*usriJ(^f»er industrytnec^jcrs rriafcc in this &ea. and v\ took f*w»-ard to conaniane so wLxwk -A nh jxregard.

You are reminded tha( retention of \xMff Fedentl Firearms License is oowiituvHrd uponyour compliance with Federal laws and rejuisuons. Any future \w*!atk^s, either repelsor otherwise, could be viewed as wiHful and may resuh in the rcv«va(ion »^l \\Hir license.Please ensure that future compliance is achieved.

86

(b)(6)

(b)(6)

Should you have any questions regarding this matter, please confcnrt Area Supervisor

Area Supems*H-

87

(b)(6) (b)(6)

(b)(6)

TCJWWM71 IIHI I

ffcua wriit finnty widi i bnfl pcrim pen whea wenpfciirt fci» r«m. ATF oflftcen wilt pTBpwtt tiiit form re triftiwrt.'rttnaning cp|ae» «iO be i«bmotxi tridi c completed r«pcctioit itpcrt Supcrrison will dc**d: <w« cu?y frwn the

« rvri? tT jm» . TI

Ni roc of Proprietori

Dtrid E.L«(oertU RlvenVw Sj*s

Street Adslnar.

4 Prw?«l mn Kaad

City

E«t W)w,1wr

StMC

CT

'•£8* Co*

njpcctiwi 8/13/flt til il/ta^

An examination of your premises, irconh and openmops has disclosed the following violarkmt tvhich (iavc bcCTexpinine-d to y w

NumberUS*} or CFR C.itMion

27CFR4?».12[(c)(REPEAT)

(REPEAT)

Nature of Violation

Llctdttt falli-d to properly maintain A A Drexorriiii>

Dupbcnti terlal siaibvr* were recorded tn Ihrê (3) hiitnr>«i- Seriali)Knb«n were traaipîKt IB seven (7) ttuinncn *trf hcgrmily recordedt mad< cp icrifil svnter initcad of "none" In ant {t} i«iln-)ct, failed torecord ttt proper M iRur«ctirer/]inportcr la ill (6) lijtnncei *oil filleitto retvni tkc proper trnatfertc IB two (2) faitv;

tlceowT fatkc tn cbt«ln n rwpome (Block) frirni pHrtltiucvs in fl*e (5)InitaiKci ntiiler tferai«llb,#lld,i»lte and « I g. Sett ten A rf AT4473.

obtfiin iin incomplete tTTpMfc fram pnrtiawT1* thr« (3) inttintet usdev ttcnw #12 »nd "17, Secr-M73.

nK«raU«l to comji'rtc in ont(l; Instnitce Jrtn *;2i» (Pli-nk), StcBcB ] C:"-J'"'"C(-^T? ^ •/y.

^^ '. __ ^ _ _____

I Have Received I Copy orptts Kqwrt of Viol^tfoTis (I'nvrsefpf's signature and title)

f r. r ccirccKd irnvtediatety)

|Daie

88

(b)(6)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

>.:?

!

89

(b)(3) (Public Law 112-55 125 Stat.552)


(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

U.S. Department of Justice

Bureau of Alcohol, Tobacco,Firearms uncl explosive:;

450 Main Street. Suite 610

December /.(), 2(X'£-w-vu'.a if.gov

762055

CERTIFIED MA SLKETftRN RECEIPT

WARNING CONFERENCE

Mr. David LaGuerciaRivervicw Sales4 Prospect Hi!! RoadBest Windsor. CT 06088

Dear Mr. LaGuercia:

During a recent compliance inspection at your firearms business covering the period ofAugust 13, 2008 through August J3, 2009 you were cited for violations of 27 ('ode ofFederal Regulations, Part 478. The violations were discussed with you during theinspection. A copy of the report of violations. Form 5030.5, issued ai the time of theinspection is enclosed.

You should he aware th^l any wiHful violations of Federal Firearms Laws andRegulations may result in the re vocal ton_of your Federal Firearms License. As a result ofthe recently cited violations, it is important that we have a meeting with you to discussthe violations found. As we discussed, the conference will be held on January 5. 20(0 at10:30 AM at the Ribicoff Federal Building, 450 Main Street, Room 610, Hartford. CT06103 with Industry Operations Investigat lli a ga and t.The agenda for (he meeting wil) include a aso tions, areview of legal requircmenis, and a discussion of steps to be taken by you to ensurefuture compliance.

90

(b)(6)

(b)(6) (b)(6)

Hivcrview SalesEast Windsor, CT

Although we do not believe it is necessary, legal counsel msy assist you at vourownexpense if yen so choose. Please bring documentation with you, verifying the correctiveaction you have iakcn.

l*he records you are required fo maintain and the business operations you conduct areimportant to law enforcement in our continuing efforts to reduce violent crime and zi>t,urtthe public's safety. It is essential that you comply with all firearms laws ar,J regulationsthat govern your firearms business.

We vvilf t-cwidiioi a foliow-up inspection in t!ic future. An v violations, cuher trfteaf orofhsnyjse, couid be viewed as willful and may result in the revocation of your licence.

Picaw coniac! Fnvestigalor or myseif at (860) 34C to connnr. thisapppin£n^cnisann pteaseîsk «ay.que£lians-yeu may-have regarding this conference. We -Jook forward £o meeting with you io resolve these issues.

Sincerely yours,

Area Supervisor

Enclosure

Cc: National Licensing CenterHartford, CT Industry Operations Office

91

(b)(6) (b)(6)

(b)(6)

92

··.:·

U.S. OEI'AlHMC!IIT OF J<.JSTlCE BUHEAU OF ALCOHOl. TOOACCO, FIREARI.IS

AND EXPLOSIVES 450 Ma\n Strt:-tJ, Hoom 510 Hartford, CT 0.&103

PENALTY I-C1R PRIVATE USE SXO

{

Mr. David LaCt1crcia Rhren•iev Sales 4 Pros?t:!Ct · lHll Road East Windsor, CT 060B8

':t

93

·---

Q/

UNITED STATES POSTAL SERVICE

j- — e ^ t ^ y o u r name."add«3s, and ZiP Code in this

«fe a 65! a 3

94

(b)(6)

FIREARMS INSPECTION REPORT

trad*

Address: 4 iProapect Kiii Road

«•«. - -3 -01-01-01035- - -

Prole:

FFt Recoil inspection assigned as follow up to the recommendation under,VUJ#762<J!55 -20Q?-0208, FTI request received after the inspection began on

tasks performed as follows;

-Vsiified no issues with licensee via ATF LK New Haven and Al'F YCi!Hertford.-Obtained History of Traces and Multiple Handgun/Pistol Sa!es from ATF VCAB{Exhibit* I).-Gimtadcd Connecticut Department of Public Safety, Firearms Unit (860)6£5-

Jpp^ Obtained State Sales and Acquisition Reports-NICS Validations (Exhibit

-Obtained verification of Connecticut Carry Permit #932880 for owner DavidraGuercia (Exhibit #3).

Linc Lead Queries on FFL.

tidh for Riverview Sales (Exhibit#S>.

and IOI began the unannounced inspectiont 13, 2009't ai thc pre spect Hill Road, East Windsor, CT

' a« bpoj'io' tfia'puWic. Present were employees, and , The owner David IâGuercia was ontown phoned David LaGuercia who informed

Kfl that he would be returning in a few days and he had no.||»tt tigators commencing with the inspection in his absence. On-

August4^T 2009- Throughout the course of thet^.ojjâr.-Dgvid ^Guercia, and employees were interviewed. ManycS-'ûrf^ttûghout the'in^fiection where David LaGuercia was not in

ife'lteite until liute evening, On-site inspection and closeout completed on

Page 1 of ! 5

95

(b)(6) (b)(6)

(b)(6)

(b)(6) (b)(6)(b)(6)

(b)(6)

(b)(3) (Public Law 112-55 125 Stat.552)


Warns: .OavWE, LaGuercia UlS: 762055*2009-0019-818ll'-»:V '- '"-V. . •; • "

Trecto Nama: 'v($foh$BW$ates FFLff; 6-OS-003-OI-GL-0103S

September 1 1 ,7009. Records review period was August 1 3, 2008 to August i 3,20G*ToV-ATF F4473, A & D.entries, &ICS authorization? end.

-£Ufara.Hpiweyctj diae to the randonl A & D open entry selection? and n portion ofIfes-an-hffiid iriVsixtcrrv verrifkrstion (non-NFA) parts of the inspection p«-daied; i\'j*ni5t 200S,

Profile!

' Solos is a .domestic company owned and managed by DavidIn addition (o the owner, Rivsrview Sales hiw three (j) full time

two (2) part-time employees, Riverview Sales acquires ;mH irrtl.saew !snd used firearm . Sales also include hunting knlvc;;, iiunting.cuppjic* s»d ammunition. Riverview Sales also provides a service ofgunsini thing. The on-{ii_tc repair_servJe« is mstoly .performed P>J ernpfoyc^

A portion of the store contains a worit bench ai:d inventoryimsmltIi(ng. Primary suppliers of new firearms are out of

sTlw retail location also provides thru David I.aGuercia, a

ecfyice bf NRA* safety classes for permit certification.

From August 13, 2008 to August Ht 2009 the licensee acquired an estimate of| fsreamis comprising o

eriod were an estimate offttrarms:. comprising of long guns

pistol s/rcvoivcrs and The reports for dealer acquisition/disposition/NlCS validations receivedState of Connecticut were previous to August 13, 2008 (Exhibit 2 & 2a).

IC blacked out any transactions prior to August 1 3, 2008 fromitfi$ aforementioned totals.

, David LaGuercia does not hold any other FFI .'s. Ucmsce iscbnipltont with local zoning and state laws. A Retail Permit to Sell

J^sJoli/Rcvolvers is on file wilhthTEast Wihdsor,"CT Chief of Police '( 860)282-"•:82t*k). There is ho off-site storage locations associated with this license and theHccwc does not -participate in gun shows. David LaGuercia resides in

and confirmed no ofbite or alternate storage is used by the FFL.iri at the licensed premise of 4 Prospect Hill Road, East

Page 2 of 15

96

(b)(6)

(b) (4)(b) (4)

(b)(3) 26 USC 6103






(b)(3) (Public Law 112-55 125 Stat.552)

(b)(6)

(b)(6)

97

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

FIREARMS INSPECTIOr~ REPORT

Dtvid E. taGuercia U!il: 7Gl055-2009-0019-B18

Riverview Sales is nwncd hy I hlviJ LnGucn.:ia (Exhihlt #) ~- ! here \Vt':n~ no ~id:Jition~ to respon!!ihle parties. No hidden ownership is~itlt:s \';'eft' di:-a:.nvcrcct and n·-~p-:.>n5ihlc f'('Opk arc corr<:>c~ly li~!¢d !~: F!.S.

Vmiartce approval efMarch 6. 2008 for r~ordkecping requirements under 27 CFR 478.125 to use computerized acquisition and dispGsition (A& D) records inlieu of handwritten records (Exhibit #6). No issues were identified to '"'aJ-r:mt &!y

n!her varianc~ request.

Violations. \Vaming Conference, Warning Letter and Recall Inspection

3 ln~necdort Hbtorv

e Mrnrcb !!!. zoos; VJ#7620SS-2007·020!!

Spocial Inspection/Assist LE: Result: Four (4) Violations, A TF F 5030.5 i"ued.

Altemate recommendation of Violations, Warning Letter, Warning Conference aad Recall luspection (E•hibit 1114,1#15 and 1116).

The Warning Leuer, Warning Confcrem:c was bused on vioiations 27 (TR of tht fo.Uowiqg by the licensee:

----=-'"47~~ FliiliRgl<> properllyr•ocoit)]t'ncctispOSil:Rmof<! -478.121(i:): Failing to properly maintain A & D record TWelve (12) of the i~.stances were for duplicating serial nu1moc• were for transposed serial numbers. -478.21(a): Failing to have the purchaser of a fircann recertify the ATF F 4473 when a


David fc. LaGuerda U1S:

!es FFIS:

firearm was transferred is Her the N:C'S check w-ns complete instance.-478.124(cMI); failure to uii.swer question I I a or !2a i instances. Fai lure in

instances to correctly complete under Section A of 447.1.Warning I t-ttcr issued January 17, 2008. Warning Conference held i 'ebruar\ X 2008.

H. 2(H)8: III#762«55-2007-0207-»!B

Special inspc-ctitm/Assist l .L : No viol;-!!,);;1-, •iisued. A^si-nm-jnt'••• cojijuiielitiit u i t i i ! j'I/'762055-2007-i'}20H. ;;• a K!r;ncr ciupiovLV ;iiKivervicw Sntes. While an empifnee \VLIS AJJVJUIr - j . : :uid ^\v\,u:x ihestore.Tiad keys," alarm codes and'pitrchascd'a largo quasiiisy of firearms. As r.f May 3!'200 had purcluwrd Circunns fnitnRivc-rview Sales.

The

firearms from Rivcrvicw Satos.

a September24.2mt4:tlltf762055-Z<K)4-0222-B1A

Application in.spi.-el ion w i t h reconnnendalion of approve \ \ i t h noted collections !\pc01 FFL issued under #0-04-01542 and subsequently changed ki the current rtf>-0fi-0103.1! when (he E;H, moved fnirn Massachusetts !o Connecticni

louring the re\. weaknesses in the licensee's operations ucre d^covered. Kcqnircdrecords are kept in accordance- with lliu A 11-* approved variance ol March A. 200S.HmvfVfr. employees are sliH familiari / ing themselves with Ihe computer system,entries and verification process. David I.atiuereia confirmed thul in Januitry. 20(19 (liebound A & f> records were convened tn computeri/cd records ;md thai the computerrecord is the official record kepi for AIT. However, bound A & i) records arcmaintained as a backup. Since the previous in.snection and issueinventories wTII be completed at least once a year.

Ihe A&Duiid ATI-" F 4473 reviews found issues wilh inaccurate entries, and instanceswhere the licensee failed lo lite All" 1* .^10.4 Kepori o» Mul t ip le Siilo torPistols/Revolvers Violations issued and acknowledged on Sepiember 1 I 2000included four (4) repent citations. The licensee was cited for seven ( 7 ) violations Ihe

t ' . i e 4 o f 15

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(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(6)(b)(6)

(b)(6)

(b)(6) (b)(3) (Public Law 112-55 125 Stat.552)

(b)(6)

(b)(6)

(b)(6)

(b)(6)

(b)(6)

FIREARMS INSPECTION REP

Ksme: David £. LaGuercia

Trade Name; RivervieW Sales

U(#:wtrr.

dis-crepimcie-s and ci lal inns, ATI7 F 5030.5, Report of Violations (At tachment HI) andt.eiiiiled exnhyjrtOofis tinder t jit* specific headings listed below.

During the course of ihc inspection. iOi and !(>! a h:td u n - j - i M ndiscussions with David I .:iUuen:in and his employees regarding i\'.\\.computer entries, computer capabilities. computer audits and All-' I- 4473 record

in uduttss tilt- opei'adonai issues discovered (he licensee plans !o lake the foilinvinaction.s;

* Hire addidorsai employees fur adequuie coverage to sx-rvice tnc siore wliicii i.s upsyven days a

entries of make, modcf. type and serial number.© Ensure aii -employees nre'ibmiiriir' with "theTVftnpuTeT progmni. computer m u l f i p i esale notifications and reports.sFnsurc employees have aisJorncrs complete AT!; F 447.^ prior to reqties'inf! ;i NU'sauthorization and cn.snre denials and wilhdrawals* are retained.

David Latiuercia has (ruined employees and implemented a procedure to v c n f v on th•iUM'e CiJinputcr. cusionu-r purchases to ensure an AT!" 1 11 !('!.-{ is fikd 10? >.u\rt daysities its vveii a% :>u;!tipie pistol/revoiver purchases made within five (5) busincs> days.in addition. emiiO'ces \\ere ad vised to check customer sak-s

5 -Acquisition & OisiroMjjon (A&t)) Record- inventory

On August 13. 2009, a full on-hand physical firearm inventory commenced wi lh acomparison to computer print outs ot on-hand inventory' by serial number reports. Discto Mr. LaGucrcia's absence and program access issues, employewaited to pul! (he computer record of A & D open entries. A full was completed due to,the recalLiaspcciion. . ... .

f( i and u compleled a full audit of tin; on-hand physicalinventory and compared the physical to the computer report o f ' i nve n to r y . The physicalinventory was also compared to the computer report of A &. I) entries. A full aiidii wasalso completed from the computer reports to the on-hand physical inventory. Thelicensee maintains a manuai entry bound record of transactions as secondary back up tothe computer system. ! Jowever, since an. ATF approved variance is or. ftk% MIL-computerized record is considered the official record held by the licensee- A full

— phyweai-fnvenlory of-GC'A firearms was tafcen-A firearms were inventoried and as

Page 5 of 15

99

(b)(6) (b)(6)

(b)(6)

(b)(6) (b)(6)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

FIREARMS i&SPECTtGN REPOr

ij Trsd* Warns: River view Sales rr i .W: 6-Ob-nu^^":"! -Ol-Q10^

| t ( K x h i h i t ,'/4 and Section -0 of (h i s :r;^rt!.ijI Initial inventory discrepancies were in excess of fireanv.s. i IK- reconciliationC tcsulicd ;n vir. iniinns w i j h tv shclVioss report.

^ 'i'ht; A & i) computer record revicv; ru-venleti ihat !hc rec<>ni ^:>.. ••* -he ••i<^,-:i \-,.r.\\±\.K However1, required entiles were not nccuraie. were duplicated, aiid iAere imi in.uk-^ ;;;iiCiy, : he vUdfii ions ciU'd inciuucd !he In i inwmK discroprmi:;^--. -'-..-"' '"> < i j ' i t -o - jMif i - . ' s| n«{ h";i!i;.»ii',ged. QUt. duplicate acquisition-entries ol'.s>:n3l-sunihe»h, •tausspc.'.td scriuig numher onli'ies. entries ivnuiiucd incorrect!) opened \vhen she firciinri-; ii;n! SeenI trunsfcrrcd ( K U V -'-'I & Mj.

| On Septemher 11 , 2009 the licensee w«s cited for these violatinns under 27 (TRI 478.J21(c)-Repeiit Violti l ion for fu i l iny to propcrlv main ta in the A &. !) record inB nineteen instances (\V'S^K K*hihi i i-7, R{')V '•'!)

-178. i2Mej-'*epc;;! Vir . l i i i i i r i i ii-j- u i i i i i ^g u> record the receipt ai!ij disposition -.-,{' !in'armsin itislunce-s. instance was lor failing to record the ueuuisiuon and

instances were for f i i i l ing to record a disposition (WS#I . lixhibils #7, ROV 114}.

Id verified (hut these instances for the review period v,cre repeatand nol previously cited. All A&l>-invcntory discrepancies v.cre correctedimmediately by the licence during the inspection. No 't'heft-'l.oss Rcpoit w;is f i le i l .

was conducted fur d firearms. I here v»tre r^'tdiscrepancies discovered with the A&l) or ATP !; 447.^ entries duniij.: l i i is irucereview. There \vere m> inslances of oblitt-nited Aerial minibi"r<;:; i!!i,'i:.i! ( i i v a r i i i ^discovctcd ciurint; the ivvie\. _ .

6 - ATF Forms 4<M - NIC.'.S & Ofhcr

The ATF l; 4473 review comprised of forms covering period of August ! 1 200X toAugust 13, 2009 including muliipJe sales. Due to the voiunie exceediruidispositions, IO1 and IOI randomly selected

— ofTnirfehiLiming'"iJispn7;ifions "ovei thetwelve (12) month period. I linvever, additional forms wore reviewed once inManc.eswere found that the licensee failed to obtain a correct response in Section "A" of A IF4473 and failed to filc.ATF f r 3310.4 Report of Multiple Sales PistoJs'Revr.Kvrs

100

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)(b)(3) (Public Law 112-55 125 Stat.552) (b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)


(b)(6)

(b)(6) (b)(6)(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)


David t, LsGuercia

E *•£&!*&: fsiverview Sales

I he licensee: failed to retain A I r !•' 447,1 N'!(_'S denials in instinct 's i ' j iclicenwe did retain AT!7 F 447.1's ;ts required ibr some NIC'S der,iu!s ;md s.i!owithdrawn h\ cusu^ners, The licensee believes u foriTit-r einpioyee frrofieoisslydestroyed the denial forms, "(he licensee was cited under 27 (TK •t,7X.}?.')ib'l (K'OV»6). A ii.stiny of customers anJ denial snibrmatiou was pro\! it! RA( n -H; ; r l ^ i i - / !

Mo law enffjrcemen! salss v,-*jr^ sin {lit tor the review pcri^J. '1!;^ NJCh>g ftas obtained from the Stale of'Connecticut Department of Pub!k- S;tfi-iy i l-xhinii"2 & r^2a). There were-ntrNIC'S-niimhcr discrepancies in coniparKoti fo -\'\ f - -f"473'sreviewed.

The di.spositinn records reviewed were found to have discrepancies and she licenseewas cilud !or violations a-laling to ATI- F 4473's (\VS^?. ROV #2. «X -'^. ''•<> £ itl).

(•nder 27CFR 47S, i24(cj( ! ) ihe licensee was cited tar t a i l ing to obtain an answerfrom purchasers (bl i ink) in instiinees from the purcli;tsi.'ix mi /'-. l\ ]' -J47.^'s •Section A for item / / l i b . W ! !c. « I Id and ! !g. l.ieensoe railed to obiuid ;; euiv.plek-res|TH!!.S'j f 'r{>ni the purchaser in iiist^rsces t;n AT! !' 447UScc i i iM] A 'i'i i tenim and ft 17.

Under 27 CTR 478.124(c)(3)(iv) ihe licensee was cited Tor fai l ing 10 record (bl;uik) theNICS contact date, item 2Ia, in instance.

Under 27 CTR 47R.!29(b) the licensee was cifed for failing to retain the AT! F 4473record of denied sales when a NIK'S check was completed i f ) instances.

Under 27 CPK 478.2Jfa) the licensee was cited inr iaijing to obtain a cc.rrect responsei inrtances~nn ATP r"4473-Sec:ion AT item #1 la j ind Sccrion B. Item #25.

Licensee Tailed ) instance to obtain proper information on prescribfd fhrmATI-F4473.

7 - Su.spicj»u.</Prohinitcd j'

As a result ot'an ATF F 4473 review and TFCS/NICS/OLL queries on purchasers.

The following rclemds were completed on purchasers suspected ul viola t ing 18 t '.S.C922(a)(g)(D (See section 1 1. -Referrals, wprknote #4, Exhibit # 10).

i'aze 7 of 15

101

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

f (REARMS iNSPECTEON REPORT

r*4* fil&fftt: Reverview Sales FFl#: 6-06-003 -01-01-0103 5

Referral #2010-0006 was submitted on purchaser for jx.;eMi&t!violating 18 US.C. 922fa)3 and 5; as an out of st Sec s sx t ion f lRefcrnt.'s, woritnote H Exhibit #10).

.Dc.njpii sslcs wecr (j.'iCMmciHtK! and euMomer niiofmafkin nrovideVCIT (Exhibit #Mj.

- " Tr ge_e Act Iv i tv_

AT1: Crime Gun Analysis Branch Trace report, in a twelve f 1 2) month pe

2009 (Ev:hibH^ 1 c.v '

g in ine :ast iweive (11) montns, me licensee acquired an estimate o| ) firearms and disposed of an estimate o| ) firearms.I TECS/NCIC checks of previously owned firearms resulted in no new hits or additionalg reporting of data already noted by VCAB history (F.xhibit #]}.

j TECS/OLL queries on previously owned firearms recorded on Worknote #2 revealed? no irace/TECS hits.S

BE2I 9 - Multiply Salesg A comparison of-the ATF Grime Gun Analysis Branch FFL Firearms Trace/ Multiple- -E Sate History (July 21,2007 to August 7, 2009) (Exhibit #1) to the State of Connecticut1 .Department of Public Safety Firearms Disposition Report was conducted (Exhibit #2).I Data indicates that the licensee reporte ) multiple sales o§ )firearms to ATF between August 7, 2008 to August 7, 2009.I State of Connecticut dispositions noted numerous multiple pistol/revolver sales hadI: taken place during the same time period which were not reported to ATF on an ATF F|:- 33K).4-Report of Multiple Sale or Other Disposition of Pistols and Revolvers.I:|'"~ The 6n,-sile review identified that the~Ticensee faileSToTileTATF F 3310.4 -Report of

Multiple Sale or Other Disposition of Pistols and Revolvers ) instancesfor the review period of August 1.1. 2008 to August 13, 2009. )instances involve ) firearms (WS#2).

PageSof 15

102

(b)(6)(b)(6)


(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)


(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)


(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

I FIREARMS SNSPHCTfGN REPORT

Wame; David E, LsGuercia UIW: 76205S-2009-0019-B1B

Trade Msme: Riverview Sales ' FfLS: 6- 06-003-0 1-QL-Q1G3S

e c e c e tu: con iprecords and the AT!7 !-' 4473s :is requested. He iicknowicdged the / '^hsre to ilie ;;n AT!;

F 3310.4, t i e immediately conrcieu ihc discrepancy by Hi ing she A I'r !• .vViiv: ibreach instance and sent these forms to ihc ATF '{'racing Center (VVS//2. Mxhib i t Ml.

The licensee was ciltd on the ATI-' F 5030.5-Report of Violations on Sepicmher 1 1.2009 under TJ (TR 478. !26a !br filing in prepisrc-afid ii!c an A'lT i- 3310.^: iccpon ofMitUinic Sale or Other Dispnsilinn ofMisioLs and RfViMV-j :^ : . I hi:, '.•:;::::;:,t'j'j ;:;

instances i n v o l v i n g f1re^rnis 'VVS^C-. \ >;u

Group. A hard copy with attached exhibits was retained in the A/O fi1e(!'-shioit #10).

a | gh| 0.

5 1I :s firt'isrf =I |I j1 I| |

I !" I

>IE

c f *

____ - . ' |.

The licensee is not an Importer or Manufacturer, The licensee does iieqmre firearmswith the Type OJ-IX-al'ers license which would be ckissitlcj as ct t l ieeior 's items.

t f - RifftrraKAs a result of the A"ft : F 4473 review, f f-CS/NCK.VNLF: I S/(Jl L queries, the

dio.-BasUip. FieUI I)i\'isio

103

(b)(6)


(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) 26 USC 6103(b)(3) 26 USC 6103

(b)(3) 26 USC 6103

(b)(3) 26 USC 6103

(b)(3) 26 USC 6103

FIREARMS INSPECTOR RFPGRT

Name: David H, LaGuercia

Trade Mame: Rivervrcw Sales 6-06-003-01-01-01035

or possihly V!oiuli:«.» !8 I i.S.r.9!>2(:i){gUl). T!w purchaser nr.svrcrcd "No" UiUcm/^li:. A'! !•' ••'-MT.VK.x,;!;:.; .'.

»4>rprosiNy vn-.i/ti i i. j j I x U.S...'.;O2Ui)3 and 5. Out oi'Siafe purchuscr nMnim uuns. NJ resides pnu-l. ,:M-:! K\I,',T M~i-i rna> iia\x- \iniuicu j-taiL1 \a\\.

i tbrpiKsihi'.S.C. 922{;iKg>(lK The purchaser answered "No" to item V\, A'I'K 1 447^-Secfion

forpossiblv viol.Hiin.- IK I'.S.C.^2'Ui\}\^.)(\) Purchaser answered "Ni»"u> item 1 Icon AIT ! 147 i -Section A.

A I i' I1 447. i

12 Other

Cirearnis \\crc êrilieJ in ihc liicnsru's :\&\)comnuterized record^

On September ! ! . 20(R KM and IO1 met owner.David l.atJuerchi !o hold nn inspection cloying conference and issue A II F 5l).i(>.5Report of Violations {Attachment ^1). Mr I aGnercia was provided with a thoroughexplanation of A IF laws and regulations pertaining to his violations.

K)I and IO! reviewed the regulator) requiremenixiircluding~^cTi)rc^nrrFru~rTiijC'~rT es." An AfKnn^JeJ'Dvliien! ofFirdi-i-Ji!Firearms Regulations form \va^ e\ecit(ed on September ! I. 2< 11)9(1- \liihii - > I .U Anexplanation was provided with particular attention paid to record keeping.

104

(b)(6), (b) (7)(C)

(b)(6), (b) (7)(C)

(b)(6), (b) (7)(C)

(b)(6), (b) (7)(C)

(b)(6), (b) (7)(C)

(b)(6), (b) (7)(C)(b)(6), (b) (7)(C)

(b)(6), (b) (7)(C)(b)(6), (b) (7)(C)

(b)(6), (b) (7)(C)

(b)(3) (Public Law 112-55 125 Stat.552)


(b)(6) (b)(6)

(b)(6) (b)(6)


navid E. UGuerc ia Ulft: 7G205'j-20n9-0019-B1R

ame; Overview Sates Îfi: 6-00-003 .01 Hi. 010SS

hiii 'sg A i !• I-' xi 19. 4 ami nmi ihu r i i iL : input to ilii1 apprmci.'; a impui t • I'V.hi!' i -ninpl i imci: v . i lh v.maiKL' atui i l i u A ! ! K i i i i n i , ' 2'!'^-0

h i . t i l d i i i n : ] . U i i \ t i J ! i i i i i tm- i : ; vviisprnvi. .!^! u i i l vLisfini; ni ' ;\Ti- anilaut numhtrrs m iica(.ii.|u;iH(.Ts urni l \ ir tht'!.1;,, ATI-' Puhl icJ i t ian 53<MH, Kcpiirt of'l '!icfis/l.<iss and TlwIntnsfc i . A'!M; 5^00.3K. < i m i Shou (iimli'lmcs. ATI" I V . h i t M U . s r r ; ;.n > ( !:ii .-s! i t -V'mU*!Ux\S P i t h t i c i i i i i i n . Y i i n i h i i i i ! ) Safely A f t . A! '! ' f ; -^47' \\A\.\u t« i

uiniputcri/.ai All- i; 4^7."i ana a-uscd A i !• i -44/J. Su;npiL' oi uu i iu i s juosvt i t spus i lKin'\i.*'i"u. A ! ' !' .Vi 10 -i. [VtSiisiLsi !• iiX\!iVM.i ivjL'i'iJ, A : r l" ("• tv 6 / > . . .-\ I 1 Sd;l".>! /OJIC.i 1 i . ? • / I'K'ck n;t!;i, Mr A hnichifre. Xi A Ki 'nui r o1 ' i - j ro ; i rn> I n f n m v i n n n \\'\' _XÔ.20. A'll' F I . ATI- F-2. ATi - 'V l mtd A I !• i- 4 ;md instnictio»s i'nr rot)ik-,!Jiiii":Tvariant:*.1.

1'osi clo-sing L-onjcrcncc, liie iiccnsL-c cotitlrrncii ; iv : i ih ih i l i iy lo ; i t iciu! a \

CiMircrL-nct.'. An i i i v i l a l i im was issued thru A.' ( A:i,'icl;nicni -;Ox ^ . t r n i t i y eiinfuranx1 ^;js hcl-.i";!! UIL- A l'l : f l i i r l l n n i ! ndusn> ( >pi'i ; i l ! « i n v i M f u \ i

i ! ) i i iL A A R i i i i c i ' f i ' I i u i l i i i i i v ; . 4:>U Mam S'Kvl. Km mi n i l / , i f a c t i o n 1. {' i on i 7I'r. 'stfni \vt-rc A 'S s: . n. I N )l \ ) : < \ i . \ . .c .n. -.. ...

;ti_k!!ov,'k-i.ltvd icck-'ipi n l ' i h o uan i i i iL i k'Jk'r i i unny i l iL 1 n icc l i r iL 1 ( Au.sdinii.-m •''!'Vinlalions issual nn Scplcmivr 11. 2(:!W -LTL- full; Jiûs^J \m iip ^-

issued to (At!;i(.'hmcnl in).

I M - Vj»jaiioB>i

I i, 27fFR47)U2l(c)

e »f Violiition: Licensee faiied to properly maintain A & S> rtionts i:i instances. E>upIiraU' serial numbers were recorded irial numbers vu-re (raiiMpused in mîmce* ami intorriTtly

recorded a made up serial number instead of n in^(^nct. i;;ii!ed torecnnl (he proper Manufacturer/Importer in instances and failed to recordthe proper trans ft- ree in inslii

Liccnsea'x ftcxponsc: Licensee indicaltÛhiitJrecotdji %tij:tcmw;erje_d^form and errors were an oversight. The program and entries « ill he reviewedmore closely.

Corrective Action: Licensee inunediatety reviewed iiaitmition and ilis

I'llL!^ I 1 Ol-

105

(b)(6)

(b)(6) (b)(6)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

FIREARMS ENSPECHQH REPORT

David E, LaGuercia UJtt: 762055-2009-G019-B1B

Riuervlew Sales f f ut: 6-OS-003-OI-OL-01CB:;

•A *rto ff+Frf*t*WfQ ^H» **rt-w->—I-**,-.*' ,••-• fii^f-is, '•T- , |*r, f , ; .- - - -^- » .^ . . . ^ „ > . V^»U.— v-i<* H^^ tt4gF**;i*L:i v,ti>i Ltîi t fiSL: ifJt t iLIfti^ *ai^<> t l h ji j*t iz^L'ij i t n n

[ (REPEAT)

fr(HtlpUre:li taêi'S UH»der kerns ^S2 2nd ^J7, KecSjoss A of ATF F 4473.

'i Response: Unintentional error, an oversight not to cwtrh tfie unnsMOpr&r to completing £«e flreirms irunxfer. En all instastces, NiCS was contactedaad a

g

E C';grreg£»'* Actiog; As insfrycfed* lae ik'ensee coasarfed :he nKrchftsers.p

I3, 27 CFR <78.124(cX3K'v)

. . _ g j f Viola tion; Licensee failed to complete i instance Itt'm #2la(Slank), Section B of the ATF F 4473.

sge'ji HespoBgg;_W8CS was cosiacied as required aftd ioe iibnti da:a «ssrecorded on State of Connectiest !>PS fnnss. An oversight no* to t-eeord ffccieferaaiion sn ATF F 4473.

rr^gtivg Aeiion: Liccasec corrected the h!enk c

27CFR478.i25(e)(REPEAT)

Nature of Violation: Ucensee failed to Record Receipt and Disposition of firearmsm instances. nstance failed to~record an acquisition sminctances of failing d a disposition.

Licea»e«*» Response: Licensee adjusting internal controls and procedures

106

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)


(b)(3) (Public Law 112-55 125 Stat.552)

FIREARMS WSPECTiOfl REPORT

David E. LaGuercia Ui#: 762055-2009-0019-618

Riv£rvl£w Sales FFw#: G-GG-003-01-CL-C'10>-:">

regarding gunsmith reqacsis hsla avi-rmgbS, Licwtsfce iaformcCi ;.K& cftu^sys-hsHre figure errors do noS occur.

c&fati end (t

iV a jg,rg_p-fr. Vjf?f sfjosi Lscensee faik-d i« reÊ-i siad isfcfc KHsjii_(.;„,, _*».:M^._«_ „_ ji ** ..-. .t...,.- , «-»'E' C1 -S-5'xv * ;-

rU?fBE«.!H &S t iSeVty «!=»* £1WV1T/;T5-n « /t ,1 *' I - r^r i-.-, U

) flr

pe»&oase; Licensee indicated that due to procedure errors by, ihe approved coiaputer progir«r» which notifies when ars ATF ? 33IG.4

require* filling was not properly checked for the multiple sales.

cos«pl€*e<! fcrnsjs So *ht- ATF NTC

Other deaied »a!e§ have been reijeincd u«d efe on fife. Licenseeronirolt and procedures «o ensure any request for NBCS check has a completed

M AH o ATF F 4473 atid denials n-ill be retained.

Correctrvc Action: Licensee unable In produce discarded forms.

27 CFR 478.2 l(i!)(REPEAT)

Nature of Vioiaijoti; Licence failed to obtain * correct response iInstance* on ll«m tf 1 la. Section A of (he ATF F 4473 ami item #25, Section » ofthe ATF F 447X

P a e 1 3 of 1 5

27 CFR 478.129(h> \e of Violation: Licensee failed to retain ATF F 4473 record of denied sales j

wfaeo a NICS check was completed in instances. \

's Response: A former employee is believed to have discarded the forms. j>ifi

107

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(6)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

I FIREARMS INSPECTION REPORT. 5

e

I Warn*?: David F. LaGuercia Ul«; 762055-2009-0019-BlBe

TrsdeMsme: Rfverview Sales m#; 6-05-003-01-CH.-G1035

Ufcnsee failed in ifisJanw t« <rhfem proper mfom^thm nn nrt'seHhefo^m ATF F 4473

ATF F 447^ pn»p?rly cirKipistsd ^jy the customer arsd suks ^tspliiyêv.Licenses inffjrrirted She trnpioyi-i-s of errors *#. *>_«*&ri1 f«»«*rf errors ejj; Ky- ott'ssd Kfrt-s&ed ifti- iu:t-ts sst, fiionittjr eu.stoitier.'s isnsl thf«s see«rEinaRi ^sg fusi'sas,-.- t,!? , .,..,—.— 5.,*; i •'^.'S.1 K,' * *'1 V";*.... *%.t tSp»i«»f i i j^ -t 6 s' e -y-*/^,

' l < ) |Sjmiiurt . ' lilk-

i k

E !. A I T !• "50.iO.5- Kypiu l DrViuht i ioni cxct-ulcd 09.I 2. Warning i^'tft-r ofI .3. Warning Confert-Ticc inviiatiun l .e t lcrol 'I 4. Warning Conference I-'olhnv up Letter of

E

{ Worksheets: .I 1. Infurmaiio!) PageI 2. \\'Sti J invenfoiy anJ A >fe f } Ro\u|_. ...3. W,S^2 ATF F 4473 (August 2008 Version) -£ 4. Statistical Page

J . VCAU f-JR'iiwns '''nift: iiutl Mul t ip le SUIL' Hislorv.2. Slate of ("I Sales and Acquisition Report s-NK'S Valklmions

SoJU b> Dwtler2a. Purchased by Dealer3. State of Connect ieul De.pl. of I 'uh l ie Safety Pistol [Vrrni! D.itn (or ));i\d

s

Pane I 4 i v f 15

108

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(6)

(b)(3) 26 USC 6103

S fKSPECTJGft .REPORT

tt&mc: David E. LaGuercia uift 762055-2009-0019-B18

Trade &aroc: ftlverview Sales FFW: 6-06-003-01-QL-01035

T, susJS o> € I -Secretory of Suite's office buslines Fil ing for RivL-ryicw S'.V'CH.6, A'FF approved computer record variancirof Masxh 6. ?,()()87. WS#I aiiachniems (ROV j«j & #4}S. WS#2 fitSHchmenls (ROV^2, #3. #5 & ^7}9. ATF F 3 registration for M22-I040

f !0. Referrals- ATF f.i 5000.2 i wiihom Jinat-hcd cxnihiis.t [

f sactions dud cuslomer data provided ;<* RAr

f 2. FT! list ) firearms nwtirmfd thru !-i""L- records"13. Acknow edtfrilFirc^^14. Report of Violations ATF F 5030,5 issued/acknowledged 1 2/1 7/071 5 - Warning loiter a/id Warning Conference Invitation of I / f 7/08.16. Warning Conference follow up Leiler of 2/13/2008.

WorkJ . information and SniSistics.2, Secondary Market (nfarnuition

4. TECS/NCIC/NLETS Queries5, Firearms Inspection Safely & Security Profile

109

(b)(6)(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

AKMS INSPKCmONinformation's rage

Knfcr !hrfcicens«'s Nstm- and UJ# in the boxes hi-taw to populate nil worksheets Iti (he

tfse and Date to populate as worksheet in ihe

fEO

iRsurwffl[47 g>?U~K |(V)

[47g,i02J478,i24--478,124-478.124478.124478.125478.125478.125-47H ITS

478.1268478.126a

^

i* the Results T#fo iff ;N-Sp£ctTola! TfaRfij&iCons Wish Violations:Total Nurater ot'TransartioRS with V«i!atiiMis:TOEO( Number of TransacUons with VioigEkjrss:ToUil Wumbcr ATF Pbrms4473 Reviewed:Totiii No. Wtlh Violations on F 447> Certifies! iiw:Total No. With Violaiions on F 4473 Section A:Tola! Number with Other Violations:Firearms in Phys. Inventory Verified w A/!> Book:Firearms in A/D-Bk Verified w Phys Inventory:Number of Discrepancies:Firearms Missing/SloJen after Reconciliation,Totai Nomner of Unreported Multiple Sales:Total Nutnherof Ouns Envolvcd:

fei-iilsSaiEKii. ".-;' 'J.\> -.:"--,..

| )0/3«

(>* 0

S o- - ? f\ w

i 1 0

I !

J. -

f

1|

^S.

-

:

ATF Form 4473 Review Vk?Iation Summary for Report of Violations

ViolaUon47S.21O)478J24(c)(l)47». i24(cH3)(ii478.124(cK3Xii>478.i24(cH3){!ii)47Î-24{c)(3Kiv) • - -47S.I24(c)(4}478.124(cX5)478.102478.126a47S»9(a)478.W(b)478,99(c>* 478.99

47S.125XC)

Worksheet 22008 Edition

A. . . . I*

2007 Rdiis.-in00

T»!al Forsns

o 1. 0 | 00 ) 00 . - - 0

0 !00

o i o I oo 1 o [ o0

0o

o(100

0

00

0 j 0 | 00 0 1 0

- "

* 478.W is the sum of 478.WU». 478.W(b) and 47«.<)0(cl. 47S •>') should not be cited separately from.99fa>. (b). and (c) on the Report of Violations.NOTE: Cells highlighted in light green contain formulas.Rrvisrd 6/2/09

110

(b)(6)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)


111

Document

EXEMPTION B(l)

EXEMPTION B(2)

EXEMPTION B(3)

APPLICABLE STATUTE

EXEMPTION B( 4)

EXEMPTION B(S)

----



ATTORNEY CLIENT

EXEMPTION B(6)

EXEMPTION B(7)(C)

EXEMPTION B(7)(E)

DUPLICATE

NON-RESPONSIVE

STRING E-MAIL

IWO L Ab.11z-s~ l.£5 sta.ts-s.z

Located in Document------------

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

_"**"'•• "3-—-:,.,.,-..,,„ .»J— •,

j __; ; j i

1

115

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)


(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(6)

n

116

(b)(6)



(b)(3) (Public Law 112-55 125 Stat.552)

i g^g^^^T& jg^^^*^^

EAST WINDSOR

Street: 1100 RIVFR RD

City: AGAWAM

C ha rig_c. Date.04/10/2013

TECS

I .Iff 1_ I V 1 —ti I Tkl_!HIJ-»< VI

INDEX CODES

117

(b)(3) 26 USC 6103

(b)(6)

(b) (7)(E)

(b) (7)(E)

, - • ' . . • ' • • ' , . y > ' .I.. i.. i l \J\st 1 1 i t t\»

''Mi'' -i I'Vii'? n i fli I ICidy , / \i.n\\ S- ~.\1 t ./ I <J. e. vj i-\ivl

i W. G-OG-01035. LAGUCRCIA,3 tif

ÔTICG; This e-myi l message and =ny att:.K.hed fii^s are ini^rnir-d so. le ly I 'nr- thf j uso of t ! . f . -(Jddressee(s) named above in connection wi th official bus iness . Thi^ communication nay ; unt:a.;nSensi t lvo But Uncl. jssif ied iriformdLion that may be stal utori.Ly or ulihcvwiSL' prohibiUMJ * r - ^ mbejrg r-flcasfd without appropriate approval. Any review, u.sej or disst^niiridtion of this ••• i,-, ilmessage and ,)ny d t tachod f i l e ( s ) in any form outside of the Burcuu o' Alrohol , i o b j c c o ,f - ' i rearms & Fxplosivos or thp Qppjrtment of Justice without express duthot'ization is Mr i tV ' lyprobibJ t prJ.

118

(b)(6)

(b)(6)

(b)(6)

(b)(6)

(b)(6)

(b)(6)

(b) (7)(E)

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P^HinjTPî 'o ' j >

P.)AIJ-;; soling'j:.«^v\Sv3.ipt)v

nri.>ifi3i;T'3Pr""«

ir:i!g 'i;i) U",I vr-I", .'7 ;:: DT-ni'-uJc; ^T îsv r,: y'.v i; ';;L!:.r?3[; i v-.^':': re-', i; j

B S|[J

119

(b)(6)

(b) (6)

(b) (6)

iiu ,jjv h<jreny f;dvii;od t'uii your j-tdeiiii rui-urm;-; j . i tc . t i f t t " is i csu ivco cffeaive;-!- ?:0, 20!2. i;!nc;!'jsed please find a Final Noiir- [ i fKcx -o ' - . - i i i t j / r :-u;i; t!u- Finding/.: of ' ' * • : ;

;iiid Conrluiions o('/_.aw fVoiri fhc hearing held on Angus'. 8'1' .nut 91'1, .'Oi P "fiL- \oltro is Ke i firxpi.matoi v. You arr, JHI longer licensed to dca! UT firearms.

You i'nay. vvuinn 60 (.3;»ys o/" receipt of this \of icc. iilc .•! pi"'.iiho:i Tni ;;:[lK'ia] icvicvv o / " ! i scic\'ocal:on of your license. Such iKtilion should be filed v.'iih ;hc i;n!trd Siciici; Diii.net Court i^rl l -e distrier in \v!iic)i yon (usidc orTnainliiin your place of husinjss. / f " \ * ; ; i hlc a peiiiion .tor.-i.vK'i^' yiHi jD. iv ;;;>;ily 10 ihc Diiecinronndustry Op^;^!:o:i^ ; . • ) : n - ; : - • • . • L '^ ihc oTcLiivc Jjh,.»!'ihc R'vocaiion pending judicial re\it-w-.-

Sir.cciely,

Director of !ndus(ry Opt'rafio:^

120

(b)(6)(b)(6)

(b)(6) (b)(6)

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121

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122

(b)(6)

:)f' \,\!FRJC.\

: \ ; I'

Fl T~ l '\. : ~ .-,· ....

. i."'; '' . ' "'''' •·-'•.:cl

l :n<.!(__'J !h~· p:·o~.-~c;~·w..; i_d ~\...:Tli~ rl q~_1:_._·). "I i::c l:~.!! (I·.··.! S1 :..::. ~ .,_, .. :::• ~ ·.:;:~);! ,;7~ --;·· !'nic ~~'?.(.';;de c.i-{·,::dGt~l; ;-z, . .-~:u;;.tiionc;, tilt~ _.·\ll('rl1•.?}'' (;c::Jc!:!.' 111~1\'. :::111·1 !!·;::·:~ ;~1:d (l[lfL1(1i;:'·!r,.

Jl-,r hl:';!r1ill~-· Jcvokr: ;1 IJr.'('llSt~ if the: i~(J!dc:l of rile h·t:n:-:-c h:l'· ·,\·i:ll'till>: \·ioL:u.d J!-1_\-' ,l.lrm·L·~ii:Il (li

lh' (iun Ct11lt1ul ,.\ct nr rcgul:ttiuns :s:~ucd under thL~ c:u!!iOJ i!\' u! ·,:!c (j•;;, (\lntroi .'\ct

t)n JU/1'.: S, ~OJ l. the Dir•.":CL.l!· oi [;Hlus1l-} Opu;itlun:..; (/)j()J, Eu.st(_,JJ Fir·:d DivisJ/\1'1, JSSth:<i :~

~Cli!L"C JfRc:\·ocn:10n oiF~--d ... ·!al Firearm.•; Lic.~:nsc, .YJ l; f.\n:1~ --+51.)0 (J~~t.(J.-1,1, !.o !);n-11i

L1 Cucrci:1, db~t R i ·.·t ·r\ i :..'\\· S:1ks ("th·.; l i ccnscc" i, h:dc1 ;il r, n:J n Jl'i ! _ 1 c::: 1>..:: ~~~1m bt:r (J ()(} uc: 3-(JJ.JL-01 03::i (;J dt'~l:t':.f in I!J\.:arm~i. other th;m de~tructi,·c device~) 4 l)m~;p-:·rt 1!!1] Ro::d, !··>st V/i:ldsor, Ct)llJlCCtic!il U(JOSC ·rhc p10pos..::d u.:voc;HJOil i){iiccnsL· ~~--as p1crni:.:~:d on willr'ut re-curd keeping a;1d lt:po;·iing \'icd.:l!tons. Thi~ Notice \V:ts served Oli !11:.:: iiccns.t~e \'!<1 ccrhfi•..:d nn1il. :tnd set fo!th·nl detail ,.:.,TF's basi~ l'rJr n.:-vot.alinn ofr.l:c lit:•::JISC :·H:d 1mr0.~i::oJJ ofth•..: ;:;·. d ~~Ill'.

011 .Tu Jy 15 ·' ;md I til v ?7~ ·. ~U J :2, the D11 ector tlf !ndu~(l v Opc:r.tl itJI\S ( /) 10). Bw:;ton Field

D1vi:-;ion. L'-:._Sucd J;;\·i~ •• ~d 1\otlcL'S o(Rc<vOC;.J.tion ofFcdert~l Firt:d!'lJJ<.; !Jc·~~~~.e. ,'\TF Form -15!)i)

(5300.--J.), to the licensee, ';f'l""\ ~-;(; \'i:J c:utili~·d nutll. Tlw rcriscd lh'ltct.--; int·lulk:d J!k.ga\H;1JS

rc.snrdiJJ_~~ IICCliSL't:'s sak uraltlllltl!lllionw a prohibited j)t~r.Silll, ~\lid I! Jar th~ licensee llad ;:!l!c.l\\'Cd

!his plO!J:bi!ed pt.:i.;on tcJ h._u1o.ik tlre;mJ!;-; ;.~t the lict·nscc s b:;c,: 1 ~t'-'S p:·t'~J:!s:~s-

\ · r ·1 'IJ -\ c·;:, J~J;" -.Ul) ·r-, ,,-- ()'" 111·' I'J -~·· :" fl IIIIOITI'I:li leilr_l_)l~:_ \\':~S :H.:.t. O!l ,-,U~:J!;{ oJ :.til;! , ' 1 , J.( 11le 1 i)l ·'H,'I ·1'(1\:~:-:-1 1 Ul.~)~~;·

l LJ.____{__' dt-t-W \lr'i-tT ..,\tr-ee·t :--('otl !\:1 e-nce R O"CTnr:<\--:-ffo-slrm;-\·1;r::;-s:Jci:w;cn:;-·t;~~::·~: --\ TJ ,-m;-~'ULWcmr ll:

llL:~lrin:~ via ~.-1;u /. /r}J:~ \'ollcc-ui'Ur.:.·:lritl!~ nfLcr rc(ciVtl~!'. a hL·~m~::; 1'(-,i!l:::;l (d:1t-:d luJ:l: :..! . . '~O-f j) fwn1- Esl! . rc.prcscni lll;J,.I<.Ji t.'J vit;\v S;,;k:.; "The :h_';-ti ;·,,g COilCCtne.J the_ Noi1r:1'

uf RcvDc:lliun ...:11-I_JL··-.:nse. The h:.;tnng \~·:1-; held undcr.liJc p:(J\T~i,-)fl ,~~-: ~; l•. 1).C. -~ 02J(t) Z!JH1

j 1 1 i j i ! ,) H.-J

' u i ! >,. Mj.u 'J []joq ,uj jx .Minj -K- jM' - . [in v opt AD oi j ] i [ i , ' pin-: f iu i IC-JLJ r.'iji jo p.io.T).i : .M(j ' , io r j i j j ' . i u i .v . r s iAOJ

.i.Tijy "smssoui; . \ ) rst.j] ;H:tui!)\ ssoio 01 pun 'S3s:sou]i,\: oDii^puci ]ins:Mf] 01

K;n;.:oddn ai[; prp.iojjn îv.-, ; I^SL; . - ;fr~j ,-,tji i;,1;.!;;;: oqi nLi i .n i ( ; [ -ns 'Uôi j s i t | j a .T.;uo{,?p u ; |

M - y i - i T i u i y ; M[/\ p.n:Lj'j:io;-; j o C i . j i ; . ' ^ ' pui; O j i | m i i ; c 2 " 3"i.;ii.5r VjuUi in^ io^ j p.n:ri;) "\i-\i

rp| ;i!;is',ud osjv ' ~'| jn pi '•'•!,") - = ' - ! < l . ! p1'1' i i - ' i t r i f j j)'^ sAoLMOuv ''; ['Oii.'.""-- ;i K!:.\ i;i! \;

123

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()) J ]JC f ll't'JlSC·(' J('CC'in~.-j :t iV:\!"l]ill.S Jc11cr lill .JallU<-10}' J ;-;, 2(lUh'. '.\ IJit~~li<'II!:JhJed th· IJccJJSt'.l ofl!1C: ·,nlpotl<lliCl: ul'complianrc <IJld rh:!t (J:Imc ·. ~()ht:uw; nl~l'/ be coJJ:-;J,ki·,-~~ 1\'ill!'rJJ :m(! C1Hdd Jc•;uil ir· !h·~· r•::'.-"·.)C:!i\'11 (ii"Iii.: (;_,_!, :·,il (-:fl·:;~d.· :i-~,;J··-~- ·1el' (~\Iii

(('.; ():] f-::'ll iidi"_) j \ :.'t'!i)\ i.ht' !!·~··.:-:::--:-:.::.: ~~:~c:HI:.:J~, ,_·.-;;j :Jiil. c\;, ~:.:-•.-;l· .. t~ :\: \J i '> li:l!·t~:J.:i

~.\.JIIIll'lltCld nffiet:. Al LIC Ct)llkl\~nre, tiJ;: ;·iol:1i;<'i:-S di.c:C•)\,~1\~d tlwi:H 1. thL' )()()','

1!l dc!ail. ThL~ iicc-llsce V/~ts 1_:in·n ~he opporrunity lt1 riSR inly qtrniJurts :tboul t11c J(·rkr::! (irc;onn;:; rl~·gul~llioih Jnd \\·as \'o-<.tme.:J !lJal llltun: VJol;lt~uns mny llc dcr.mcJ -,villtul J\

[t:\'> cl::ys b!t.:r'. ATF sent (:-tnJ rlle- liccnsol' received) a kllct :;JilUJtl~lrizinf_l_ !he (i.->cuss;c•ns ll'Wl h<~J LtkL'Il pl<lCC at the. w~uning t:O:lll:Jt:;~cr. \\':io·:o::!f:, the liccn;;cc ;!c:1: !;, :>hlli!d o..:xpect fut.m·c in~pectiPn;;, :1nd rcmi!Jdill.~.~ tiH. )!I:·.~Jl.';cc t!l:JI 1\tfurc vioL!Iious tll:t~'

he COJlsld,~\-cd w11l ftd <uld rn:ty result in rc\·nc<11 11,lll l:f !!1c :·~~.•-..:.r::! !":; ,~JI"IllS !i,;.~:1\C:. Si",_'

C1X 1!.

(-i) !n !!_J!/J, t!1e !i.cc:n~;cc ',',-tJS s-ubject to .1 cOdiplitWL·c lll.'>pl:ction Oy !\ J'F Jpduslry ( )j~t~r;tti [);~:_; k ', csn ~~:·.tors. ,-\T m·,_; ... ---~indUSi l:.n "~- rT1•,: l p. '>pL:d IOU tl~ ~ h:cn~:l'[", \Vas (,) [l'.l:. j ('I

JilW!lg t)fh~r 1l1ings:

(a ,I Vivl:J!IU1J_<., ui" _-;I C./·. R. ~ -~ 78./ -~4(c}( l) <Hld ·n (' F. R. ~' ~"iS./ J (a) ror lraJl:;l(:r ri I'" fia:~lflllS \.vi!'lwur rr:'-·orJ1ug J.!lU rcquHrng tile tr;J~I~:fl:!l·c '0 dJIIr;;;tly a11U

cumpku . .-iy rt-ct~rJ eli/ of rh.c n:qutrcd tn!'Oml;<ltn;-i 011 AIT F1J!H1S "J.J7.\,

V\obt ion or 2 ._,. < .. F [{ ~ :; iS_ i) I { () r·,_,r r,.i 1,!n:. ''· 1 1':<ru::·-~·-h ·: ::;_: ~:~:;:;; d!spO:;liH"Jll..U:.:CQ.d~• ~+;~,..-1-}-)- I~Hior~~ io :cz:utt; m CJI.(c·r 111g wrurrtr:t "Ln:d

IH!I !)iJu S, m;-Jn lll~ll~! iii'CI S,- I ill] )()!'IL IS, \llld [r:lJ',~; tl:H't''-. in l·,l Jl1 t' I c~·o rds:

125

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i_),~ ,. 1d i _.t(ju~n;r;J. i)\J<·J Ht\'('_J'v':r:W s~lle:--

I_ C)

':':(;!;!liZ_:J;,; (li '·' C !• !{ ~; ~-,.;~ i:JSif:') Cy ;:11i -,, '" ,.-,·: ''i';i'!''r' :, 1·:··

u,~l_,r.:i,J>:i •.•t i'lfi_C;Ji!•i<- t·t ti:~· _.\,_(_,1~-, i~""L. •:~·!

; r. ,,, ; ' ,, .. ! ,. ,, ,.,.,, ,

".' " ' '. ' .

( illnli'' ri:,· :;'il'-i ~=:~;· >:~;·:'", :-:..:~ .\ !'!· .... ~ .. ,_,,, -,,,

;rw; ;•..:C(lnikt>.::p~n;.; r:.'.ql:;:cmr.;;~:.; \·-,:-;L-llhc '~icc,;sct..: Tl1c 'rie:-'11'-'i:r· 'lP,:H_'(i c.111

ackno\•:if:dgcnrenl··111at the rc·.~nl.n.!lo!IS \-vt:rc t~xpiaii!ed aHd dJ:..cu::-;cd. li-i :-:ddir:·<m. t>~(

Jicenst:c \'>:JS t~•ven i\ TF tt:lepllOJJC nuill~h~rs, <md i:li0rnUllCJ:l o:1 '-'.'d) I\?S:d ;·f'srlVfT•·-·:

~l!ld ,:1h·;~~:d ;o L:.!i! ATF ·.vrth ;wy qucslinJJS. See(,).;. l]

(lj) Or1 Scptl'ntbcr ll, ~t)():J tlw licensee was pr(jvideJ \.Vith <l •'rJ)lV uJ ~!!(': Rcp()f! o!

v·iui<J!tur!s (ROVJ~ rlcl~tilin.:!. :be problems i\ll' fo,ttid d(Htrt.i.'. 1:1._-: ,, · !'·'t'i·fq_• 1.h:' i;c l'.'.'t

c,i~~n~ d !he· Rt )\i ,!rkrtG\\'k::.h.uno; ·:h: .. !! l1c h:·t,1 '' c-ci'>'''d i! -tt·,l) ~~··!: Ji~;:-~;;,:;c:d tl;c ·,-j.:;/;1;;,:.~;~ ~,-j~it !tim. See GX l ?.

\ i U) (Jnlkcernl.wr 30, :!009 ,t\TF sent the licen::;e.e ;1 \VZ~rnlug l.t:U0f. •.\'ltidt :·emtndcd the Jiccn:.ec: of!hc nnpol1Jncc of compliance and wontt-U tiwt fuwre vini;mons ntay bt.: cottsidcrcct willful aiJC! could result in the rcvocJtion of the fcdcr:1~ fiocaiillS license. S,···c ex~~

( 1 ! ) On .! anuary '/. 20 L 0, !.he licensee 8ticnding a \Y;;JJili1l!::: n;.;t fcfl.~ucc :H ,\ TF's ! brtrcrd, z..:vnt ~l..'c.:l:cut office. Ar the conl.biencc:, !he ·vi oJations di.-;co\- e1 cd dunn!_'; tf1c ,~009 in.'\jJCc!ion, L!'; well as how r.o correc_t ~ltcrn ;~nrl avpid future \-lo!nliun~;. ·.vem Ui~cuss:?.J ill dcLiil. The iiccnsce \V<JS g1vcn lhc opportunity !t1 ;:~·k t~ny q'.:l..':::io:~:; ::b'->ut the federal firt'arms rc_gtd<!i.t~JnS..J.nd_ >.\::d.S._w::Jmed that-f~:tur;':; vio1atic;ns ::1;1y be cL.::,.-~ncd willfut-·~'\. (cw ri:!ys imer. ATF sent (and ihc licensee received) a icttcr .surtli1J:nil.illg the discuSSiOn~ rhat h;Jd t1ken place: a! tlw waming collf't:rt:nce, \o..::m1mg ihe licellSLC t!:a( he 5hould ('.'<prct future inspections, 31Jd rcmindillg the lic:~ns~c th~~t future vlo!:lliuns may be con~.:(lt:rcd '.viJJ[IJI and tll<'l}' ft!sull in tcvocation of the fi.:deull llrc3.nns license. ,)'ee GX I :-i.

-----tt:rvmg·f,:vie\.\·C(Phe t>6fi_f_c rcc:OnJ Jii lhrs-ln<-lt(~:;r,_f JJI<-Jke ihc_TiJJiO\Ving ilnrhn.r~s \Vi.lh n~.<.:pcct to ih(! LiCCliSCC's COIT'-~Jll Viol:ttiOfiS:

126

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G~!\'H.l L:tGuct·ci;-J, L~b:J ftiv-.::-·::c·-.:: .);,\:s

:~-.'~-')!:;:t:i.~: :o! .i<i!ili<li')' /:! ll, tJ·rc; iJC!'th<:t: .,.,:ns SLthiccr lCJ ;1 CIJ!'i'~.pli:u:~T ~tl:.rtt ('lt,lil hv :'\IT i11rl:.

:;~'(·: ........ :.; hi\'C:::ii_:,:ii()!·· ·r ht: rn>.pn~l1n:1 f(;c.;s-:.:d o;·J $12 V'ril \1:' ,<.:; 1:!ii'l i !'-!!' •:'·

\I _I l liw.l d:<lt tht.• IJlSpec-tion rCV('.DIL:d-<)v'c·r-.::~00 vroi;Jric·r-~ or I;-.; i_ i.:~rc ;}_-~J(m) tl!~rl

~J23(g)(;)(:$, ,~,ld 27 .. C.LR. ~ 478.J25(q kJJ JJJ!ing to L:cjjJJplc!t·ly, tl~·cmately, :-nliJ !i:l!: .. dy iecord inLn1nt1tion into the A..-:..yutsition ami Di:-_.pc.si~inn 1 L~c.n;·d f jns is a rcpc,~t viol<1i1o:L The licensee \VJ~ previously cil<.'d lOt ot:1er ,·iolr.t\ons qf till.-, f .. Hovi::ion i1: 7007 <'JJ(i )(ifj(_j_ 2

fnr r.rilirlg !0 1 '._'~··-•ri ~d:.:]::p!c- .):.:k or Oi)h .. i_ Displ_:.siiilj)) ur !"':-·"'~'> ::,-,,i !':(.V()ivcrs w .'\! J'

,_,l! ;\TF fc·i","tl :;~~ l O.'i. -fhis is a n.:vcat vioia!ion. r:).~ liCL'Jl<;,--c l'.<lS fl/C.';)(\llsiy cited j()J

u!Lc.- • it"iiariuns of rilis provtsiott t!l 2009 . .1

{ ;) f !"1nd 2! \'tulatiulls of J R U.S.C. ]§ 927(01) :md 9)J(y:)(! )('\),and-~)/ C FR.~

·1 "/8_!2tl(c)( l) for lra.nstCrrin_q il firearm without firs! tt:qliinllg lhc ir:l!lsfcree to p!OVtdc tl!c pCI .mna) icknt ifyqtg i nft)r Dl3tion (such ~s name, res i den !La J addn;ss, place of bi11h, cili?cnship, etc) 2\rid certify· that he or she is not prohibi!f·d fwrn po~,~.c..,·;Hl.~~ fireanll'->, ;Js rC'CJ!!trcd by:'\ !T rorm-·~'~ 13. This is-::! rcpc:J.t violation. rllc lictn~.~L' \\·as previou~ly Cited !u:· olh_T ·• ia.l2tili:1s cfthis provision in 2007 <1nd /009 ·

(·I) /lind 102 violalions·o-r1-s U S.C. ~-~--972(m), ~"J22(f)(1)(C). ::l·:d ~-}·::.~(~'.)(!)(.-\.\ c;nd ·-'7

CF.F ~ .:l"i8.J).1(c)(3)(i) fi:n Ltdiug to :1deyuately verify ;:nJd rc-co;-d rht-· i(kntily o~-llit

1 l\n11~ rhnt Hcv(l\<llnlll ( irl..'lll\ds .ii.~ 4- 14 (o1:. IJO!JJh('rcd in !he !\'o!iccs of Rc·.-v,·<:iJti.l) ;n-_ (,;· ,, ·,·Jol!l!i(llr5 011 th<.: !"t,JJJJ"" ~.n; !1.~ Hlt:[T!iom;d ilb:.J\C, only '2;-./:-'~- JO% ofrhc fm;lls (:~Jld011tly c!J<)Snt) \1'<-'Je ;t'l iewed by ATF iiurw~: !ill' :nspt:ctivr.. T!;d_;, "/0';:, J )';-;,or lite For!ll ;.l:j.'/1" wert' f)()[ !" 1CI'J<:\Yed, :!~;! i! :s pr(:';..:b!,- dli-<i ,;,],i;tiOll<il '."Jol.Jtiuu:,.

nt-tlw s!Jtu:nl )' J!ld H:gt;!~Wt i _>H01.L~ina."). ci!cd-in ih:vnc<11;fln (;rr"'!!d'\ t). 14 (·_~!'.~ l:u ~~ ~;~.· .;:; ;:. ·. ~:::·:0-~·ii"E~

St.;( isti-t:'nHy, lltll' 1\o()ufd 'C''ittn-r;)\f'"'"tfr:tnffi:nr:m:rl n:nnbn ol Vl()]i!ll~lii:; Jlif"(Jiounds ;','·) l cf '~ I hi._-,: lo fOur II!~ it'S l~ltitl

I his 1$-Cill.."d ;.)~ tlw 2'"; gn••111d ft)f !C\'CC:!tlC~Ill:lll.c ~,i;)fJl:(~ lifR<.::\'UL'ati•lll

rl1i-. is c.:itnl..:.s rhc J'd k'roiiiHI fnr IC\-<JC<llldll in1h~· N~.~li~cs \lfRcxoca:im1

J his 1$ lli:'(' ;\~ II•::' 4u ':;ltlt11:1l !u1 iC\'OC;.JIJOJl in1b~' ~<otitP~ or- Jl.r-voc~linn

: iind J 4 vivOlsl ior .s of I S U.S.C. §§ 9 2 2 f i u ) , 92.7(1), a ;ui 1>/3(i-0i ' . ' (A) , and 2 7 C . F . R .•178 1 24(cX3)( iv) lor J a i l i n g to record ihc dnie NT1CS was conlacicd, i h e ruypojise bv isyj - to in , incl-'oi' the ident i f ica t ion number provided by the system c-;i /\7 Form -44 /.ipr ior to ihc C i H i i s - f i - r r of a fircnrm Tl.iis i.s :i repent v i o l a l i n n . The fcLn' /^c. v.'as i i r^v i i -^C)!t;d I*,! o i l i e r ^ i n i i ' t i u n i of i f t i s provision :rt 2009.'''

I find ri;r^^ violanoiis of ib ' U.S.C. § 922(h)(3j ;jnd :-'/ s.M-'.R. ^ 478. !>v(aj for Iraiisftrn r c i i i i f i s EC non-Cormcciicu; residents in violat ion ol t l i e !r,ws of !iic t rar isferee 's hnnns f a r u . (he law.s of Connect icut , and/'or federal law '' The iic^r.scc ; ';insfcnvd f i r n a n n s

(CJ) ( find nvo'° v i o l a t i o n s of Jb ' U B.C. § 92?.(d) a/id 27 C.F.R. f j 4 V 8 . y y f c ) for t r an s fo rm^tlrei:rnis (o pciT,ons who appealed, at the L ime of the ( ransaci ion, io ix1 prohibited fromreeciving firearms ' l

TIu-; is cil^d -j$ !he '} yroiiiu'l (01 Rc\o.-i](itin in ihc Ncticcs of Ktivoi'uliiwi.'nirs Ts'nirxl :*.•> ihe J !'" yiou;ic) for Revocation in tlic XtJiici.-s uf Revacaiion.

127

(b)(3) (Public Law 112-55 125 Stat.552)


(b)(3) (Public Law 112-55 125 Stat.552)

c!:;;covcix;d:- l i i a l v iunng-dus pw-tod, a-sûior- i^J¥ti^v-;*w ci'nployco :

C;O NCLUSJONS OF J- A W

i/ndcr ihe j i rovis ions uf Section 923(c), Title 18, l lni lcd Staics (.'one, ;ind Sertion 4?S.74T Ti;!o.{7. Code of i-cdend Raûl i i i jons , llio Altorney General may. ai ' i i ' i iK- t i cc ;ino oimortunity lorbearing, revoke a lic«nse if the holder of the license has w i l l f u l l y vjoJaied yny provision o f i h i :(Jiir: Conhol Act (CCA) or rogu!;>riojis issued pursuant (o ihe Ar t .

As explained below, 1 dnd Ihat (he violations cited in my specific hndings (these f indings V.CM-described in the Notices of Invocation as grounds 2, 3,4, 5, 7. M , 'A I I , 17. \\, and 15) wucoonnnincd vviJ i f i i l lv ,

128

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(6)

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(b)(3) (Public Law 112-55 125 Stat.552)(b)(3) (Public Law 112-55 125 Stat.552)(b)(6)

129

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/n~· 1 i!t-:Fl'('!f . .:!(,(.; )": 'id i.!f._ . ."·\21-2::! ( 4;1'C:1 ]C·Ot,): (;Cii!."' !.\'.':;·-· ~ 1 l:! i q ·r, C i; ?t )0~ 1 ); , i :·.::::::'!! e he. : ·. LL'n,'leri. 5d-\- ;·:.: -~~ ',~.:.!. ·i. , , .. , •

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_______ Iiy~ __ ir~speCfl)r-~;qJ!Jli\cd-the-abbvc wfoJJnation t:l!n~· r..;-11 : 1 9.--'H ~t:.·J ::ns\;:crul my questions regard in~ rhis infonnation. r have received a copy of thi:~ for my records ;1<:: :J

reference. i undc;sta.nd that this is only 1 genf;ral ovL:rvtew of\lw T1SiliJtJOn:-; rmd lhnl

will be responsible for familiarizing rnyselfwith J.!l of the f<l\-VS :111d reguhtams guvcmiw--'. lll)' lic:cnscd filt:ttrms business.

Dunng l!i~ ~U07 ur;U :::!()()) Jnspccnun.:l, the ,;TF inv,;,·siig_ctlui ":iilih.:Ily ;.-:\·j,_·h'L·d :ll\' ··c_~iJl;'iiC':I'

i'l·iili r.-1r. LiGL!erci;J, anJ providt;d jvlr_ },aGuercia wiiil an oppcmur~rry [[) a.si;- ;nl_y f.Cn(?Lli (l!

specif'ic questions ahour the r~_gulations. }V1r·. LaGuer-c1a Again ,r::ign;~(~ rJC~ 1 :'1\v!c\i.v,e:ncn!~ lh<1! il 1c n:~:ultJJions had been reviewed with him.

1\TF Invc:stJgolors found \:iol2tio:ls of!he (Tun (>mtrol As~ durir:g bo:l1 i!lt' ,~(!()] und ?0()9 irEp>:c~Jons. At the conclusion l)feach oftbose mspeci.imJS, the-1icct~:;ct \',~1~~ JllTSClli.CU \,·irh ~-!

Rep.orl of Violations documenling the specific problems di:;covcrc·d. fn cacl1 tn<>tancc:, the A T'F j, rTvcsri~~HDr r cvi cwed rh~ rcpo r1s of vioi<:~tions \vlth ih e l i u~nsc<: ro CJ tSll iT J 1.c n nd c1 sloori '.t:l:nt

lwd hc::Gn done incorTcc:t!y and how Lo do it corrcctiy in the fmlln:.

,.\t'tc1 Gilch nf \l1e 200'7 r-md 2009 inspt'c.tions, !\TF sen! !1:e lic:cnse~ :-t w:lr:tJ~\~S kUcr, ren:i11ding ___ _i.l_1_e___) ic~:nsce __ _

TI1:1t 1urt:ntion of your federal Fireanns License is concli1ioncd upon yourcornphancc \-'.'1\h rcd.cr~d Laws and RcguJati.ons. Auy futll!c ·vinlitt!OJlS, cJlhl'f rqx:<d o; olho:l'WJSC,

...:uuJJ b(; vicv..-r;d <i~ willf11l anJ may result in ihe revorario11 nf _your !;ccusc. Pll'-ets(; ensure f]l;J,t f(~rur .___: cornp!i~;nce is achieved.

Snor-i!y <lfre.r each warning kiter, ATF met wirh the licens~~~ fo1 ;~ wsJ-IJing ccnfcrcncc. /\t Ulch waming confcrcnct~. the J\TF invcsUgator, ;,:n /\TF supcn·isor, artd the iiLTn~;cc discussed th~

-~;:~:ili0·:;.:il1I:iii0iJ::> diS~D---:·ered, .. he)\\~ tg_ p:r~cv-~nt tfl~:rT~fr_o-rJ t ~-z~~-~-t-lr ri-1~g, ,lllc!-- -GCTr"n jJortJrlC~:OtcolliJ.lli<-ulCe. At Lhc· \\'ami ng con fcrenccs, ihc i iccnscc was p1 escnted with t11e opportunity to ask :\TF :.n1y questions regarding; the rcgul;ltions or liccllSt'e compliJnU~ ob!i~;aiJuns_

:ncor;--;\;[ly. i h < ; licence also successfully completed hundreds of Transac t ions whetc al l ihe' •eqnir . ' inenrs were completed correctly. This eoncl irs ivcJv uenioii^tiiKt;:, i l r j i t h e licensee kncv.how f o iJo tilings :!K right way, and was capable of getting th ings riyht when appropriate. - i t ' w i i i o n and c f fo j f were devoted io the job, but s imply did no! focus sufiV.ie"! a t ieni ion I , )ensure that he compl ied w i t h l i ie GCA v:;-tch time-he sold ;•! mn-mn. •

Accu id i ' u ' l y . i In - l-.nge : - i :mber of rep;*:!! <, ;ol;:!;o::s i-ierne-uylKilc;; ih .Hi , ihe i;C-:.ii5cc ojiti l.tiiL-nip!'jye:;s ;::;n50£efLi!!y disregarded and/or were 'p iani iy u i d i f f e r e n i 10 i h c i i - C-C'A, ohhoa'ion:;.and in ihouiibi-e c o i u n i i i t L - c i w j i i f u i violat ions ol ihe GCA. Sec American Annx Intl. v. Herhi'f,.563 P 3d it 8.!: .fce ( / / ^ w Wuaw.r v.. Hums, 2012 U S. App Li . 'XLS I775S at *4. (repeatedvolahon of known Je»a) requirement is sufficient to cs fab l i s l i w i l l f u i i i e s s ) .

.Regaidinr , i- ' inding 1 ] , the government introduced cv idenu t sho^'-••ilje thn t the licensee undorsiooddial he eould not transfer firearms w i t h o u t fusl-compleliny a NK/S check, i n fact , a f thc w.irrmu1,coiifcjcnccnssocinied wifh the 2009 inspection, Ihe licensee told .ATI-' " f r n y l irmp'oyees kjio\t ) ie rules. . nothing, leaves the store w i thou t a NiCS eherk." .SVv GX 15, However , thegovernment piescntcd eviucuce that on IJic iic-ci'isec tdlowed a crsionier to leave ;.:iestore wi th h is purchased flrearnr.'bardfd'no't run n" NlCS'f'.'lK'ick <>u th:U ind iy idu ;^ un t i

Al the he.inni/, the government introduced evidence sho\vmjj t h ; i t one of t h e licensee's seniorejiiployees nilowed n knov/n convicieil felon to handle firearm;; in the <,tou;, ;uiJ :.hat uri al lt--i,sltwo occasions th i s employee sold .. The !tc;;n£,cc i idrnil tcd (hat In; knewihtit felons could not handle f irearms or possess a in rnnn i l ion . He confirmed d ia l he trains h isemployees not ,"c allow felons to handle fircamis or purciiase on i f n u n ; t i e r ; . I J u s employee knew

iiusiness i.s responsible, under the d o c t r i n e of (•espoudcat superior for ih i r - ac i ions of its employeeiin'r'IIFere'fore these coiistiuiie w i l l f u l v io la t ions oTthe GCA and e o i i s f m n o . n l d i t i o n H l giounus f n r(cvocaf ion of this hcen.se

130

(b)(3) (Public Law 112-55 125 Stat.552)

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FromSent: Friday, April 12, 2013 8:50 AMTo:Su I^GUERCIA, Dnvid

ecialist - Adverse Act ionsFederal Firwirrtis Licensins1, Cefiter'M'J Nredy Road

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NOTICE: Tins e lunif message ami nriy si f tat lied files «rc intended solely fur I lie. use of the iHlilrcssee($) nnmcd above: m [.inim-iiiou with ufficin! bu.-uricss. 'I lmiNinimiiuicRtion may contain Sernifiie Ifut Unciassificd infurniaiion tl/al may f)eSl»fU(orily 01 oflttnTwc pjofuljilcti rfoiu liriiif; u-lrnsit-cl \ilillionl ^C'l1'""!1'"'"1''' :*!'i" '"AIIV icv ic iv , uê. *n (lis^-itiiTiiilioii of this f mail message and any attached fitr(s) in any form rjiilwh1 uf i t ic ""fi-iii "f Vcoinil, 'foSj-iccn, Fin-Mr nis (V t-'i ptmu rv ! 1 % KDtparlniciil ol' Just ice without express ftiichoriziliion is Mrict'ly pruiiitiiifii.

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FROM:

CASE IDENTIFICATION INFORMATION:

CA.SF./IJI Nl'MRFR; 76205S--P018-0230 . -

CASt/INSPtCTIGN TITLE: RECJ.l : RIVERVIEW SALES

firprir-fn t h a i w.as believed to have been used in the school shootir?. further i m/ps tripot ion rpve-ilpil i har thr iir^^rpp w. nr;,-; I - M - ; < ! • =

particular transaction during the course of the 2031 inspprtion ~.r.r source document-•-. 'oMprfor n summary th° i nsnprtlnn documents relsTed TO >'«oncy ' -"in?,-!

" Or]~Decembe"r 18; 2012, ATF Tols and ATF "Special "Agents di scoverpri vi.-) news report s""t tia f ,in.individual identified as was able to vvajk into River-view Sales and was able : osteal a firearm from inventory without being detected. A news video indicated t IIP !" i rearmwas stored on a display case in close proximity to the front door of Riverview- During (heRevocation hearing held in August 201? for this licensee, a 1 ;n:k of inventory control .;rd j;ieas't. or u,1 d i-M.overc'd inslcince of an individual "walking of"''-" vi.ln d gun was speci^ l < •.< ( \ci red du"l rg the re vocal: ion . The licensee, Davi d Laguercia ^tuJ h.i s dl Lorneys advi sc1'1 '''_''• i.n;>the hearing that they had taken steps Lo ensure the security of- t.he inventory after- i h t -issues were cited during the 2011 inspection.

On December' 18, 2012, and December 20, 2012, ATF 101s and Special AgonLs from Hartford, CTwere requested to prepare a summary o-f"possible criminal violations Involving R.ivorvirw S n i p sfor presentation to the U.S. Attorney's Office. Additionally, TOls and SAs were roqupsted i.jassist in prepuring for a search Warrant to be served on Rivervinw Sales.

Pios.se see the- additional- PII Fol-der dated 1/7/13,- for1- even I1, s rd.iat.nd- l-.o the sor-virig ni ar:immediate revorntion not:ictj on Rivprview and the execution of a search warrant on Riverv:iowon 12/26/12.

E.-ND 01 MLSSAGL - CND OF MFSSAGC - EMD OF MLSSAGF

134

(b)(6)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b) (6)

Sent:To:Cu:

Friday . April 05, 2013 1 V59 AM

FW. 0 OG-0103b, O?w!d

ni;r<?.?i.! '.':'"'" /Vr^hol TobsccoM4 M ' • < - ; ! > / rjorij-!

Marunsbur j - . WV 2.\;40!>

NOTICE: This c mail message and any attached files are intended icjlt;ly for i_!'u:: us*jddrc.''. ••-;•'[:( s) ndtnod above ir, connection with official bus iness . ThJ •; (.ommunic r ionS^nsi live But Urn_J unified inroriiidliufi that may be stdLuLur I !.y or oliic-rwisG pi-nhi;

being re leased without appropriate approval. Any review, use, or- dissemination ofmessage and any aU ached file(s) in any form outside of the ^-LrejiFirearms & Explosives or the Department of Justice without expressprohibired.

Original Message-f" com:Sent.: rriday, April Q5, 1Q13 11:22 AM

To;

Sub David f-1. I aguertia

»*(.** + *

NOTICE: This e-rnai-^ m{ jssago and any attached files are intended so.lely for the use of •addressep(s) named above in connection with of f ic ia l bus iness, (h is rommunirafion fray c

Sensi t ive But iJnc! a.ssi f ied information that may be statutorily or otherwise prohibilodbeing released without appropriate approval. Any i-eview, u';p_, or dissemination oi- lhi.smps'sagc1 and any a t tached f;ile(c,} in any form outside of the Bureau of AJcohoI'., Tobracco,firearms & Fxplosive.s or the Department of Justice; without express ,iu lhor.i/Hl;i on is s t r i c t l yprohibited.

DFPARTMFNT OF' JUSTICE "- BUREAU Of ALCOHOLj TOBACCO, f-IRFARMS AND tXIM.OSWES POST 1NSPR I LON

ACTION NOTTfTCATTOW _

135

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136

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CA~L: TIJI'NI fi[C,\TTON JNFDRM.~TTON:

CASL/ U! Nllf~ULK: 7628So-2816-8230

tJ..( UONS:

All Hevocation Ht~dr'Jtlf~ Held lA Revnk0 I icense or Permit U:... ~Jod;;t t: .i.u-"'11'> i r1G Ccntet· ~:i lc

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CAS~/lNSPECIJON TITLC:

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i rom:Sent:To-:Cc;Sublet:Attachments:

Friday, April Ob, 2013 12'03 PM

.FW. Revoked FFL ro 6 06-0103S, I AGUFRCIA. O^v-1 I-Ofii\ I - 0^0/'2Q13 A 11- revokes license o* nur-» ner^^' '"~"1 i~ [\i/-wi/m'MFFL doaler rocord nn 006-0103?) • Havi-l I ACUIFRCIA CM057013 ndf

From:Sent: Friday, April Oli, 7013 11:35 AMTo:Subject:, TW: Revoked FI-1. no, 6-06-01035, LA(-iUi.:KCIA/ David I"Importance: High

Please see the e-mail below from Intel. Branch. Hi-profile case, 1 sent a PH folder update on ihis c.nso torlny. Ju-you a heads up if you can make the adjustment as .snon as possible plessp,

NOTICK: This n-iiuiit ntessagc »nd wny attathud dies an1 irileniled solely Tor the use of (lie itcfdressee(s) luuiifd above in cui»ier(inn tvitli Official dusiness. TdsscoiiirTKinicMtio'i in;ty runlain Scnsilivc |t«t Lin classified information that may he crarut'iiily nr nlhprH'itc riroltibilcd I'mm hern;; rclM Wf M-illiOul itppniprinir ;ir

Adk rcvieiv, use. ur rtMSMimiitlinii "f itm e-rnail mrs«ij^ Hnit ;tny ur(arhi-i| I'lr',.'} 'n :iny form 'Hilsi'.k c f ihc Hurtfli! oT •i.iro!".,-), T(>h:ii:ro. l-'irf-nrtrs & V'\;;!«•• I-Tllcji rdiu-til of Imlice withoiil cipress Hiithoili-.itiiin is strictly pioliihitrd.

Prom:Sent: Friday, April OS, 2013 10:41 AMTo:

137

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Subject: FW: Revoked I H no. 6-06-01.03.5, IAGUFRC1A, David FImportance: H>gh

From: Sent: Friday, April OS, 7013 10:09 AMTo:Cc:Subject; Revoked Fi~l. no. 6-06--0103.S, U\GUtROA, David fcImportance: High

Law P.nlbrctvment Sensitive - For Internal ATF Hst1 Only

Just in case you weren't aware, FFL dealer no. 6-06-010.15, for David I ,AGTJ1 . :ROIA ; That was icvokix] and ih(,0-day peiiod ended on J - e b . 18. 20 J 3, remains an ACTIVE, LICENSE J S S U f i l ) license in FLS. The; N - S p erecord h n ^ n ' r i n insn i i t t r . d the revocation action to the FFT..C. (UIN: 7620.^^2010-0/30)

The atLached open source reporting, dated~~Apri1 4?2frl"3;That the FPL \va.vrcvo'kcd iJccciiibfi '20, 201'? ;nni H i ,tlu: 60-day time frame !o appeal has expired. Chttp://www.usatoday.coni/sLorv/new5:/nfition/?.013/0'J/04.'îiiidcalcr-liccjisc-revoked/2053905)

lOi Program ManagerOSli / Criniiaai intelligence Divis ion ... .intelligence-Led Pol ic ing/ AI Hie l r r o i i t n n e Against V i o l e n t '.SiJaiegie Projects Branch

138

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139

lfff revokes license o!'gun Je.:.dcr tied to Newtown

A TF revokes license of gun dealer tied to Newtown

Nc;mcy Lunza may have legally bought a gun from Riverv1ew Gun SD!us m ConnActiCIII

-serr~if dedined !o cornmem on 2ny cnminZi inveS.ti'QatJOn mto RivefVII'!w Gun Sales, wll>Ul A I I opeds rcwJe1J n1 ller:Pn-:her. di:llf<; "'fter in0 Drx >4

rnassacr~ at .Snndy ~cu.~ Fle-mf"r.G,~J' S~hool left 26 de<Jd. She referred que:;trons Vii any cri;;Ji;-.c.l ;;rz,:X: lu U ~;. 1\t!:xnf'{;; off,c<' sprA.;r:sma,, 11,rr1

Ci:lrS<Jrl, who COUld no! be reaci1ed for cornrnen11 hursday

P:l}\l~ \ nr 1

Olinfi anonyml'L:5 source~. The H<:~rtfon:! Cot~~~ni ~12s repot1ed that :tie guns used !n t.f)e N:-v.~own flliJ:.;s<~c:e :·:',ciuJ,ng.:; l.:lushmasiF·,· -,; ,.,nd ,],. ,,.,, .,

~ttuofinw n1 i 1-'lr:fnrd fJislrj[)IJICJrE irtc r.'l 2C·.JO ih2i ictl ['rgn! df'2d-wur;'1 ho1h oc:;;_mi leg all.,:~~~ L;;(;, ;;_,, ;oc,·,. '-!!•'! '·I,

re\'Jif.lry 101 people C81lvlcted nf cnmes invoivi::g dangerous weapons

------'"'"""O"""'C''~o'-'""~ Jacok_~_ Into ~close<;~_GJY~!~'V..£.~1_j_l_~~~JJOu "0 Dec ::t1 In fa~~lll1ILJ:hef'-'f1w~IL[lu,.__..Ltill Alr.lliinl inhM.r.o "-nli-f"""'<n~ .. aru1uc· Aprol 20i3 thai;~/;~~ p•rm~~ntly-n>vo~<>d tt·,~ flld<>r.;l r.fe,.rms lic<>n~" of own~r Dovl~ 1_ ~GuAr<::la_(F¥1<>/o·-~·o~ll Mu"'"' (;dry !""'Y''')

! nGtrercia could not bC rc<JG!led for comment Tlliusday at the store, Which continues !o sdl c;mmunitiOfl, ck/.hcs "-fld cthc::o a;::cessonr:s . .:Jcco,c:Jn·j •,, c'

(Amf!le elllployee, wl1o declrncd In give net naniA

:n Oecemm•r-, LoG~ saH..llfl a st<Hemt:rn lllalllf' was ··<-'.bsoiule!y 31Jj.mlied" to lcQrn tho! i.l gun ~w jJ'0!J 1:1 N,o;r"-'f I "'·'<'ii n:ay :1aVe bcc·n u.c:ed 1:y ~1.;;

-son. Adnm. in the Ne\;,town •n~s~8cre

140

Document

EXEMPTION B(l)

EXEMPTION B(2)

EXEMPTION B(3)

APPLICABLE STATUTE

EXEMPTION B( 4)

EXEMPTION B(5)

----



ATTORNEY CLIENT

EXEMPTION B(6)

EXEMPTION B(7)(C)

EXEMPTION B(7)(E)

DUPLICATE

NON-RESPONSIVE

STRING E-MAIL Located in Document------------

(b)(6)

142

1 r Au .r..~ ~ J vv 111H1..r..Lv ll'i .I' u LL

Document

EXEMPTION B(l)

EXEMPTION B(2)

EXEMPTION B(3)

----

V'/

fti.b L /ilo.ffG-55 '

APPLICABLE STATUTE lA'S" .5t.at 5S.:Z.

EXEMPTION B( 4)

EXEMPTION B(S)



ATTORNEY CLIENT

EXEMPTION B(6)

EXEMPTION B(7)(C)

EXEMPTION B(7)(E)

DUPLICATE

NON-RESPONSIVE

STRING E-MAIL Located in Document----------'----

(b)(3) (Public Law 112-55 125 Stat.552)

144

Document

EXEMPTION B(l)

EXEMPTION B(2)

EXEMPTION B(3)

APPLICABLE STATUTE

EXEMPTION B( 4)

EXEMPTION B(5)

----



ATTORNEY CLIENT

EXEMPTION B(6)

EXEMPTION B(7)(C)

EXEMPTION B(7)(E)

DUPLICATE

NON-RESPONSIVE

STRING E-MAIL

/ fiib L /iii. //,2-S5;

/;lS sbJ.~is-.2;


(b)(3) (Public Law 112-55 125 Stat.552)


(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)(b)(3) (Public Law 112-55 125 Stat.552)(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)


(b)(3) (Public Law 112-55 125 Stat.552)

i. ,',"" '-Zirzrjgjpgpgfeiipsii ^«.j.»>j^ss,=:".'sx^—^--^".^c-iJ^^^^-^vi^^^^

I For Official USR Only f^*? *V:~' '~~' ^'"J " ' '

t&e Nurniivr: & ss o03 01 OL 01035

id DateOS/01/2005 08/19/2010

Pate inspection Q^te Renewal fêcBiva Date R<MUfOI/2010 03/10/2003 CG/1Gi20io 08/28/200?"

TECS

INDEX CODES

155

(b)(3) 26 USC 6103

(b)(6)

(b) (7)(E)

(b) (7)(E)

156

i ."t. H('riiHII'!•t·m uf .harlno

!!!.1•,. ,., . .( ''···!~,-~ !"!•., ...• l;,,_,,.,, .. _,,,,ji '.t'!'""'''

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OHJEALEA IN F!P.EI\P.MS OTHER THAN tlESTAUCT~Vf DEVICES

~rttt•l( ~~ ~l'!i!lntht~n m 'F !' !-~ !~ )~ I (I: ~!UW1i11Ui:ir I. :2010

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1100 RIVER RD AGAWp,M, MA 01001-

ldcr-h•ll"' '-•«·•h•·• •I·"~''"

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157

(b)(3) (Public Law 112-55 125 Stat.552)

158

II

1--------BEST COPY C11• 'L~ "Lt t'"l .¥>.. 'l!..l ....

1

·1, ~. ·--~-- DEPARTMENT OF THf: rRi;AsUR"Y"------·-·-·-S·~~:._!.S]!~SJ·1 ---.. --

BUREAU OF "'LCOHOL TOSJICI;O A~O FiRE IIAMS __

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·-

159

l

UEPMi.YMF. NY OF THE TREASURY 3UIH.:1<>U OF r\LCOr!OL, TOBACCO ANO FIFIU.I,U,.JS i

·rou !I:USl cc:;~f.~, .. ,~, L1:;o ( o:rlific~!ion cr .ft. if wm No·r ba ;JI::ll!' t-o act u!)on your IHlp!icJ!Ion ll/\1:! thf!o applict.tio.n will bot returnOO lo ",'01;; la Ll S.C.U2:l' [~j)[!..-;~H: !J~r:r:Hllj m.alo!!l> il Ufl1lfw1u\lor JJnlf nc.nirr.mignmlo~!ien to ah1p or lnonflpc."rt !11 inl•llrt:/1411' or -!orergn commerce, 1 or r-•)W d:W in..:<t .:;Ji,;.c:l,'•G t:Lrm.erc;~. lln~f l!nurm;l ~ uruT~U,lit~n. or Jo r&cCIY-r. .any f,r&tllm or .anvr:unillan which hl!!t mtan !lhipp~d orj ~r.3r"·i·---~t~:! 1r. JrrL1. j,i,..t.~ -1.· f,:,aigr, '=ommt·rce. . , A tlU'i~l',:nyrwo! .0,1 .. )1 •S 21\ O:l;en 1~1 tl;e Un:tE'::I S!E'lles 1!1 c r:cn.;r·, ~ro>n: c.a5s'l.::at·o•l rr~ de'l11·~1011 'll<)u(~!'!!i, II\ iil'9f: part Pl!<Sons llilVf!imq le'~I.J(>Iarlly :f' lhe •_lr.·,ed S:.>tF.·:, for l,,iSt'lf\:_;s <..1r p.0asurn persons s!("~Y,n\' ,,. 111" L n'lr.o S1a!f:s wr.o tnAII~tfl.n a re~ICP•~<:e abTOad ancr cer1wf' torEJ'lln . ..,vrkr?l:;. · T~it' •.k·l:n.\ 0'' ct,;e<;.I';:-:!T ~rc ,,c1e :J~n·1aner'~ resldem atre'lf, ' · I

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L ·-· ·- ... ·-·· . "'.- ...... ------·----·---~~---------,-----

160

Document

EXEMPTION B(l)

EXEMPTION B(2)

EXEMPTION B(3)

APPLICABLE STATUTE

EXEMPTION B( 4)

EXEMPTION B(S)

----



ATTORNEY CLIENT

EXEMPTION B(6)

EXEMPTION B(7)(C)

EXEMPTION B(7)(E)

DUPLICATE

NON-RESPONSIVE

STRING E-MAIL Located in Document-------------

(b)(6)

-ity: gASf WINDSOR

Strwt: _

Giiw. AGAWAM î_i_. fcjll.

Cnanga Ssiai i/05/ÔH 11/01/201 12/28/2009

f. :'*-»f'~. r=»«ri.«..t

10,'05./2010

COMMENTS/REMARKS

!

TECS

i |1 ij |i iI !j i

162

(b)(3) 26 USC 6103

(b) (7)(E)

(b) (7)(E)

cs

*M«awi39 ssMiaa iSESSs ^

£ and Repon

Cs^KAYfoKJ NAfcK 6K5 ADDRESS

JWCWOe ZIP COOS AID COUNTY)

DAVID EL/aUERCIARSVERVIEW SALES

WhKtex.cf CW083. Haiflohl

,»£;;;.- •i.-.ri *r <_; i jp'î-

r,KSt&re?t 3 t.Y {•vf-'pW^TUftc, Till E Aftu i>ATE)

Area Supervisor,

?. F'jra' SE.'Sf*tC i IK'STRfJCTIOVS

2 U.t. K'UMSER {ORQ. SEO. COOE. ASSIGNMENT T4O. P FC )

3. PERMIT/LICENSE NUMBER 4a TARGET DATE 4b. TARGET HOURS

i _1/30/?009_. _40

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L

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MO. OF ASSESSSSSfi-

»O. OFOAIMS

NO. OF TAX PERtOOS

i!

,. i*j!-L-. j

S VALUE Of TAX If KESSES

S VALUE Of TAX DECREASES

S VALUE OF ASSESSMENTS

$ VALUE OF CLAIMS

S VAl.UE Of TAXtS VERI "IEO

!2H3-ttJKH.MH ;

J2114.ReMT«.CW» {

J2115-GPV EXPENSES i

J21t8-MtSC 1

j TOTAL & FOR !NSP. j

.ATFOFFICER'S

Viofs WC

ti TI&SE ACCOCKTWGi DATA

ATF OFFICER'S NAME (MONTH. YfiAR. HOURS)

Apn sawMAY 2009

JUN 2009

J'JL £005

AUG 2009

SEP 2009

NOV 2009

DEC 2009

252. 'JO

l.OO

6.003700

St. 50155060.50

18.00

ATF OFFfCER'S SUBTOTAL 244.50 ATF OFFICER'S SIGNATURE

NAME {i?ONTH. YEAR. HOURS)

AUG 2C09 57 O

SEP 2009 21.00

ATF OFFICER'S SUBTOTAL

TOTAL noufis

78.00 j ATF OFFICER'S IGNATURt

322.50

Jtjf KK ETOO t^ {io S3) ftK OJTicJi! y« OrJy Pago i o* '

163

(b)(6)(b)(6)

(b)(6)

(b)(6)

(b)(6)

(b)(6)

164

(b)(6)

t

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i

165

Document

EXEMPTION B(l)

EXEMPTION B(2)

EXEMPTION B(3)

APPLICABLE STATUTE

EXEMPTION B( 4)

EXEMPTION B(S)

----



ATTORNEY CLIENT

EXEMPTION B(6)

EXEMPTION B(7)(C)

EXEMPTION B(7)(E)

DUPLICATE

NON-RESPONSIVE

STRING E-MAIL Located in Document------------

(b)(6)

BESTCSPY AVAILABLE

r:v/-

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lue Vteses%! OKnw Analysis BranchS?iw* (FPt« 6-05-01 035),

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ace rtn; -nd FFL theft Ef-TfohTn firaina*. r- Vv-J-^rh •„-< i

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I -: • <„--. ^£eas« fle advueet tkta //.j?. ^?/<S. £&?I :' v

if any part oftkf cwtfertiy oft*ry Federal Firearms Liceaws

atetus Art of?0$3, s£\frcfy resarca ffe?isfc?» ar it«y ts/brs^r.'os rc^trsi & $$

18 L<SC 9-^(ff>, w jrqM:rrtf to 6c rtp&rtfy* pufssattu ft)

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Chief, fvati&fitai Tntcmg Cfftier Diviswiz. »?V tvassc-rrcs/ t%sr v™* ti sTin rfcrsrcnrV of the isfyrmaticm pr&vuitd w (Ais

•W oft&c Chief. f*(

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EXEMPTION B(l)

EXEMPTION B(2)

EXEMPTION B(3)

APPLICABLE STATUTE

EXEMPTION B( 4)

EXEMPTION B(5)

----



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EXEMPTION B(6)

EXEMPTION B(7)(C)

EXEMPTION B(7)(E)

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12. SCHOOL ZONE r;JA l2f' 0 lft'l::: FFL's ptorusc:s ~r .. ·rthm 1000 feet of a :school Zll'tfll:. ~'!:>r !be Ffl dw f~ ~ ?O$$Cs:s:t .... ~

of FFt 's eustomCrS trust be unlo2dcd and~ ~ a loc!:!d ~cc1. or :a IGclxd :~ ~t dalts ur. a~ vdltde. Al~ :.h-.s.: af <lrc >p-."'Clfi.: mcms dl.e fFt Ctrft cnsot~ tnallhcu c-ustomcTS ~ ~

in ~tion of I g U.S.C ~ll{q; {e.g.~~ Cl...~ of~ OOens.:.~ ~lOaS.. t!~ ~ ofloda.-1* ~etc.).

a• ~~.rr.n.auclup~Hi~'"'II!S .. C:O~ •• ·~~"'·' The iU\"CStig;am explained the abo~ inf()(l]];llt)oo to mr: ooU._i _{!_, _l_1.oo ~"Cr'Cd my~ rcprdmg dus $::-~· · ·~ . ~tioo. fhavc rcccwcd • copy of thrs fortny ro::onls !tS ~ tc~. I unck:r sumd dw thts rs ooty a ~ · · ~ : ~ oftbe regul.ouoos l ~111 be ~'6SI'Mc f« l.ll o(~ b-..n and regubtioos

• • • go~ my liccnstd

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EXEMPTION B(l)

EXEMPTION B(2)

EXEMPTION B(3)

APPLICABLE STATUTE

EXEMPTION B( 4)

EXEMPTION B(S)

----



ATTORNEY CLIENT

EXEMPTION B(6)

EXEMPTION B(7)(C)

EXEMPTION B(7)(E)

DUPLICATE

NON-RESPONSIVE

STRING E-MAIL

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9

(b)(3) (Public Law 112-55 125 Stat.552)

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(b)(3) (Public Law 112-55 125 Stat.552)

(b)(3) (Public Law 112-55 125 Stat.552)

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KST COPy AMJD12LE

Hreanm sad Explosives450 Main Street, Room 6iO

76205

4 nsr^fî rail rosd£^s? \Vi»it*tf, CTC6088

; Juas 30, 3307, yoa west otod &F woisi^fti of 2? Co3= efs, rait ^7S- A copy off wte Expect o? Viossjfiin'i, A 5 ?• rprra X^f:».

issued &f ibc cLrae of the inspeciioa is enciosod.

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fu!ly es sined to J^KS by She SBreawrra and Exjrfosives (ATF) Inveshpao You iadksscd ihsJ youisnrdKSiood the rcquJrcrocaJs of the fiaeasrns i. Vc^ rart.St'Jiai ccmacJiw; actioss would be taken so efemiBase fooae

pecords yo^* fere iwijtiirtti SQto Isw csf«ceincat in o»ar ctKStte^s^ fcffon a> feîoc

the ^*b!ic. H is essa&ai tbaS jo« rarefy vâfe aH FedciaS Laws msdyoor fir^ms ; business, Itos is critk^ to c«ry^ o^ o^ mi

sad casts* thfit cnitaaals do not apsra Access W firesams, Acffcms thsa you cad other cxhaay members mskt is rius sea. a&-Jl \*-e lcoeittmsmg our woit 'with yoa m lhat

b prcaect the

You are reminded chat retentkai erf" your Fofcxal R«anm Uocase is cossditiosetl upoayour compliance with Federal Laws and Reguiscjoat Any ftsurc '-'iofetks^s, c-wheff repcs*or otherwise, could be viewed w wiQfa! and may resuh m the rei\'<x:3£ion of your heense-Please ensure Aat future comptiAftcc :is achieved. _______ ___________ _____

210

(b)(6)

(b)(6)

&3t* Windsor CT

I c u yau sve asy q^cVious regi^fig itia Kiaaes1, p!csss: râji j*-* i. . ,-s-t or Investigaso r, e

Smcerciy yours,

cc: National UcensiBg CenterHanforf I. O. Office.

211

(b)(6) (b)(6) (b)(6)

(b)(6)

Bureau of Akx&.>?, "i>_><v'Hrtsrms and Explosives

450-Main Sftwt, Suite 610

5W8

David c. LaGterciaRivenricw SaJcs4 Prospect HiH noed

Windsor, CT 06088

Duriag a reccat compliance inspection a£ your SJrearms b&sxscss cx^-cnr^g nJeattary I , 2QQ6 through June 20, 2(07 you were cited us- vioLai^s- r»s ?.? Ccr> ofFederal Regulations, Part 478. The violations were discussed wiih >^«a during the-inspection. A copy of the report of v>ote*iaes, IRjrra 5030^5. issued « !hc ti«se <^f ih*inspection is enclosed.

Yos EhKiM b2 swart thai say «riUfti! ^ToJa!k»s of Bsfcra! F.sramxi *—-A-S »r-1Regulations may rcsah in the revocation of yo«r Federal KrearGn License As a wsoh of!&e toceniiy cited vicdations, it is impOEtara thai we twvc 2 tiieetiag v.im yoa to fhscussthe *jo4s2KH3 fxsjad. As w« (Ssedssad. site oos»er2th.x wiJi be l«:«i on wcoflc*day.

610, Hartford. CT 06103 wrtfe Area Supetvisor s?td InwsugatorThe agenda for Use toeecng wtfiiaciBHfcs discusaofi of the reasons for the

a review c? legs! s aianeitfs, acsd s discassksi of s ps to be tsfccn by VDU toensure future ccrepiisnce. AklKKî we do not believe it is accessary.

212

(b)(6)

(b)(6) (b)(6)(b)(6)

Ssfesii-dsoi% CT

I'cgsJ counsel nifty asxis? you ai your ovra oipcass if >\TJ so cl-soo-se. rk&ss & :;:.-yo«.. verifyin (he ecerscRwt "c*in» si have ate?:,

iiapoiisat to ia-A* csfuii.-eiocstv ia oer coottnttJEg cffcsts so E«fos;e vkriecs dizasK'

wiSnd sari's^

Pfeese contact fcveaigaor orsii-seif ss(-^G) 24 tccccfiira&is appointmenl, and please ask any qutsaoos jxiu may hate rogiatfeng i s ctaifercnce.We loot forward to meeting with vow *o resolve t!*±sc"

I--V ' •£ • •'•| ':.''\-' | Area Supervisor0 * 'L "

R V .|: - : , ; Enclosure1 .;,I'. . ' • ' ' ' t'c; Nations! Licensing Canter5,; ;i,.; KsrtfoRt CT {adustfy OperaEiocs Office

213

(b)(6) (b)(6)

(b)(6)

214

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45Q Main Street Room 6!Qrr

5s w3

S^£sra &fis£§s

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'ssish jtsu csa r^£rss;;# 13,at the Ribkoff Fesksai Bmkasg. 45O K i a Stiea, Sisa^ 6*fX i-Easrf bed, Cceasiscscut(wKB'with faveatigacf ISKJ L E&ensg flas ocstSssass, Eft? vicâU«3adiad iMrina tbc inspectioa covtrit^ the penod frosa irj/2006 1* 00 6S&&0Q7

ss ihc Esocessary K io-s KJ -nêai she %-kiiKKs i fiosa r

You wesc e'ven the oôttaaaiy ftp cqaessat era sac rkssKHis md -^rfess spcciikyou have teten to easore ds« the vioissioas wiU na t occur. Ffc&,viola&oas rcgsniiflg Ac uis soo aawJ Dispositioa recesds, rieiure SG R

^sispqsKd OT incoiToct aesial rawnsfeess u"ss^<*" iî ss wsilvigilaasi ia catkr to iasure fsaare ccc^Jissscc. A«fe^MaHy, pu hsvs espgtn siyJng £or a csmâricrizsd «Kiasce fca- yoff fttûistioa sal IfeiposiiQS reccrrfs as

ing ths ATF lama's 4473, yoa ai!! bs SKH« obscrvssl asd vi^K&es i^ cstSef toinsure future coxnptisncc; JCKE have Msed a dcrseal assisaai is osrdcr to review ATFfo«ss 4473, Third, in referaace ;_so K tfeeft ksesreiKats y«a SSed bs l ess sssssng

stsscd thai yoa will be HK»C observant sad vigsiant is o^ferss ixssst ftaurc

E \,

t "*"

I'/

215

(b)(6)

(b)(6)

The vivu&G35 »G< which you were cited could adversely iffip&:s !&¥.• erJWctrensiii's abilityiO i&y iCS ViGi£3;i Cnni£ 5iHl pCOSSCI IRC pUbtcC. I OU ST5 rCuu&Bb-u tsiai ;us*-ir£ VlO'SiiOCtS,

ticss: or otberft'ise, could be viewed as wilifof and ?nav resuft in (he f^vsxr-srios of ycair:. You tisay srsdcipacc ftntiier !ns|Hxtioas to cssa?<e yoifr ccîKH&scc,

- co?ttftet '^Rvcstigsro-as a Sictns ou roquitc fusthcr daritkstkia ab

Arc*

Eaciosure

Cc: Njilional Licensing CcnEcrHastford, CT Industry Oprrs

216

(b)(6)

(b)(6)

Documents

For Official Use Only License Registration Report