James Lee Carroll
Guns & SuchRevocation/denial of renewal
This gun dealer was cited for 9 violations. The inspection resulted in revocation/denial of renewal.
A final disposition of revocation/denial of renewal means that ATF officials concluded the dealer must lose its license. This requires a determination that the licensee wilfully violated regulations or is otherwise ineligible to remain in business. The licensee will either have their license revoked after a specified period of time, or be unable to renew their license once it expires.
ATF data indicates that this license is no longer active.
|Type||Dealer in firearms|
Compliance inspections are conducted by one or more ATF officers. After the lead investigator submits a recommendation, one or more ATF supervisors will review the inspection and either concur with or adjust the recommendation.
This page contains information about a single inspection conducted between 2015 and 2017. The ATF may have inspected this licensee before and/or after the inspection detailed here.
Officers spent a total of 118 hours conducting this inspection. 101 days passed between the assignment and the final review. The licensee received a final outcome of revocation/denial of renewal.
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FY 17 Warren County firearms inspection
The current inspection resulted in nine violations being cited which warrants a recommendation of Revocation due to the licensee discontinuing use of the A & D record and failing to conduct a background check or obtain an alternative permit (repeat). Licensee discontinued use of the A & D record on 1-27-12. Licensee continued to acquire and dispose of firearms after 1-27-12. redacted errors were disclosed in the A & D record during the current inspection. Licensee failed to record a firearm acquisition in the A & record in redacted instances. Licensee failed to record a firearm disposition in the A & D record in redacted instances. Licensee transferred a firearm with no acquisition or disposition entry in the A & D record in redacted instances. redacted firearms were unaccounted for and reported on a Theft/Loss Report as missing inventory. The licensee failed to record any gunsmithing activity in the A & D record. The licensee estimated he acquired/disposed of approximately 20 gunsmithing firearms per year. The licensee was unable to recreate the gunsmithing portion of the A & D record. James Carroll stated he did not maintain any gunsmithing invoices. The licensee was also unable to recreate some acquisition and disposition information in the sales portion of the A & D record due to the length of time since those transactions occurred. The majority of this missing information was related to used firearms. The licensee failed to conduct a background check ( NICS check) or obtain a valid state permit in redacted instances in violation of 27CFR478.102(a). The licensee transferred a firearm without completing an ATF F 4473 in redacted instances in violation of 27CFR478.124(a). Numerous errors were also located on the ATF F 4473s. The licensee had a 100% error rate on the ATF F 4473s during the inspection period. The licensee had a 17.1 % error rate on the certification section. The licensee failed to record any purchaser identification on 8.6% of the forms reviewed. The licensee failed to record valid and complete identification on 11.4% of the forms reviewed. A Compliance Inspection was previously conducted on 7-9-08 (Ul # 775045-2008-0187) which resulted in a Report of Violations being issued for three violations. The licensee failed to conduct a National Instant Criminal Background Check (NICS) prior to the transfer of a firearm on redacted occasions. The licensee failed to record the disposition of redacted firearms into the Acquisition and Disposition Record. The licensee failed to file an Application for an Amended Federal Firearms license not less than 30 days prior to the move of the business premises. During the 2008 Closing Conference, the licensee stated he was confused as to whether he was required to complete an ATF Form 4473 for the transfer of lower receivers. The licensee stated he would ensure an ATF Form 4473 was completed for all firearms transferred. The licensee was instructed to conduct a NICS check for each firearm transferred to a non-licensee. During the 2008 Closing Conference, the licensee stated he would work hard to ensure all firearm acquisitions and dispositions are accurately recorded in the A&D Record. The licensee was instructed that the sale or other disposition of a firearm shall be recorded by the licensed dealer not later than 7 days following the date of such transaction. The licensee was not conducting periodic inventories at the time of the 2008 Compliance Inspection. Inventory methods were reviewed with the licensee in 2008. The current inspection disclosed the licensee had not been conducting an inventory for comparison to the A & D record as previously recommended. The licensee did not ensure an ATF Form 4473/background check was completed for all firearms transferred as he previously stated. In fact, the licensee increased the amount of instances he failed to conduct a background check from redacted to redacted. The licensee did not ensure all firearm acquisitions and dispositions were accurately recorded in the A&D Record as he previously stated. In fact, the licensee increased the amount of A & D record errors from redacted to redacted. During the current inspection, the licensee stated all of the firearms which went out his door were on an ATF F 4473. This was not an accurate statement. The current inspection disclosed numerous firearms were transferred without an ATF F 4473 being completed. This is a major concern due to the fact that the licensee was not completely able to recreate his A & D record related to used firearms. If a used firearm was transferred without an ATF F 4473, there would be no documentation that the firearm was transferred. These firearms would be untraceable. It does not appear the licensee is able and/or willing to be in compliance with the firearms regulations. IOI redacted recommends Revocation. No referrals were submitted.
A compliance inspection conducted from 11/17 to 12/16/2017. The FFL was cited for 9 violations. Two violations rise to the level of revocation. 1. Discontinuance of use of A & D Record from 01 /27/2012 to present. 2. Failure to Conduct NICS checks in redacted instances. This is a repeat violations from the 2008 inspection for which redacted instances were cited. The IOI and A/S Recommend Revocation. 2/14/2017- Notice to Revoke FFL sent. 2/24/2017- Hearing Requested by FFL. 3/17/2017-Notice of Hearing Issued. 4/11/2017-Hearing held. 6/7/2017- Final Notice of Revocation issued. 8/4/2017-Final Pll sent to the FFLC. FFL's records have been submitted to the Bowling Green Field Office. SI redacted will ensure they are sent to NTC/OOBRC in near future.
The FFL has been licensed since 1990 and has had two compliance inspections, 1994 and 2008, prior to this inspection. The inspection in 2008 yielded three violations. The current inspection yielded that the licensee discontinued use of the A & D record on 01 -27-12, however, continued to acquire and dispose of firearms. Licensee failed to record a firearm acquisition in the A & D record in redacted instances. Licensee failed to record a firearm disposition in the A & D record in redacted instances. Licensee transferred a firearm with no acquisition or disposition entry in the A & D record in redacted instances. redacted firearms were unaccounted for and reported on a Theft/Loss Report as missing inventory. The licensee failed to record any gunsmithing actvity in the A & D record. Additionally, the licensee failed to conduct a background check ( NICS check) or obtain a valid state permit in redacted instances. This is a repeat violation, previously cited on 07-09-08. Additional violations include a failure to properly complete ATF F4473s and failing to complete ATF F 4473s . A recommendation revocation is recommended by the Lead IOI and Area Supervisor. DIO concurs with this recommendation.
If an inspection uncovers regulatory violations, the licensee receives a report outlining these violations. This section lists the violations found in the inspection, as well as a general description of each offense. More details on the nature of the licensee's specific violations may be found in the report PDF.
This licensee was cited for 9 violations.
|1||478.125(e)||Failure by a dealer to properly maintain a record of the receipt and disposition of firearms. 🔗|
|2||478.21(a)||Failure to provide all of the information called for in required forms. 🔗|
|3||478.124(c)(1)||Failure to obtain a Form 4473 showing the transferee's name, sex, address, date and place of birth, and other required information. 🔗|
|4||478.124(c)(3)(i)||Failure to obtain identification from a transferee or document it on Form 4473. 🔗|
|5||478.124(c)(3)(iv)||Failure to record the date NICS was contacted and the NICS response on Form 4473. 🔗|
|6||478.124(c)(4)||Failure to record on Form 4473 the manufacturer, importer, type, model, caliber or gauge, and serial number of the firearm being transferred. 🔗|
|7||478.124(c)(5)||Failure of the licensee to sign or date a Form 4473. 🔗|
|8||478.102(a)||Failure to conduct or complete a NICS check before transferring a firearm. 🔗|
|9||478.124(a)||Failure to record the transfer of a firearm on a Form 4473. 🔗|
Source: Bureau of Alcohol, Tobacco, Firearms and Explosives. About the data »