Q: I am emailing today to ask a question having to do with compliance. I am a Compliance Officer in Santa Fe, New Mexico. As I am moving forward in my position, I am noticing repeated mistakes being made, even with the system of cross-checks and final reviews that we have in place. We are catching the mistakes, however, in an instant that an error is missed, my questions are as follows: 1. What is the legal liability for the salesperson that signs the 4473 with errors on it? 2. What is the legal liability for the FFL holder vs the salesperson who signed the 4473 with errors on it? and, 3. Do you have any recommendations on how to move forward with said employees and their repeated mistakes?
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