# US 2017/0286965 A1 · System and method for tracking and securing the purchase and sale of controlled substance

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- Number: US 2017/0286965 A1
- Document ID: US20170286965A1
- Status: Published application
- Kind: A1
- Application number: 15/087,938
- Filed: 2016-03-31
- Published: 2017-10-05
- Earliest claimed: 2016-03-31
- Assignees: Shield Compliance, LLC
- Applicants: Shield Compliance, LLC
- Inventors: William Erwin; Noah P. Carey
- Web page: https://patentgrep.com/patent/US20170286965A1

## CPC

- G06Q 20/40145: {Biometric identity checks}
- G06Q 20/02: involving a neutral party, e.g. certification authority, notary or trusted third party [TTP]
- G06Q 20/20: Point-of-sale [POS] network systems
- G06Q 20/201: {Price look-up processing, e.g. updating}
- G06Q 20/40: Authorisation, e.g. identification of payer or payee, verification of customer or shop credentials; Review and approval of payers, e.g. check credit lines or negative lists
- G06Q 20/4014: {Identity check for transactions}
- G06Q 20/4016: {involving fraud or risk level assessment in transaction processing}
- G07F 9/026: {for alarm, monitoring and auditing in vending machines or means for indication, e.g. when empty}
- G07G 1/0036: {Checkout procedures}
- G06Q: INFORMATION AND COMMUNICATION TECHNOLOGY [ICT] SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES; SYSTEMS OR METHODS SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES, NOT OTHERWISE PROVIDED FOR
- G07F: COIN-FREED OR LIKE APPARATUS (coin sorting G07D3/00; coin testing G07D5/00; {handling coins or paper currencies apart from payment activated apparatus G07D; payment architectures, schemes or protocols G06Q20/00})
- G07G: REGISTERING THE RECEIPT OF CASH, VALUABLES, OR TOKENS

## Abstract

A protection system for tracking and securing the purchase and sale of a controlled substance. The system includes a network and a database that stores information of a plurality of customers. The information regarding each customer is stored in an individual account, and the database further stores the information regarding government regulations on purchase and sale of the controlled substance. Also, the system includes a plurality of end user terminals to record transactions of the controlled substance. There is a server in communication with the database and the end user terminals over the network. The server includes a compliance reporting system. The compliance reporting system executes instructions to compare, in real time, information about one customer and the transaction to information stored in the database regarding the government regulations and the customer. In one embodiment, the system prevents the purchase of the controlled substance based on the comparison.

## Claims

### Claim 1

A protection system for tracking and securing the purchase and sale of a controlled substance, the system comprising:
a network;
a database that stores information of a plurality of customers, information regarding each customer is stored in an individual account, the database further stores the information regarding government regulations on purchase and sale of the controlled substance;
a plurality of end user terminals at individual shops to record transactions of the controlled substance, the plurality of end user terminals are in communication with the database over the network; and
a server in communication with the database and the end user terminals over the network, the server including a compliance reporting system, the compliance reporting system executes instructions to compare in real time information about one customer and information concerning the purchase of the controlled substance on one of the plurality of end user terminals to information stored in the database regarding the government regulations and the customer, wherein the compliance reporting system prevents the purchase of the controlled substance based on the comparison.

### Claim 2 (depends on 1)

The protection system of claim 1, wherein the end user terminal is a mobile device.

### Claim 3 (depends on 2)

The protection system of claim 2, wherein the customer information is entered via a point of sale software application running on the mobile device using a processor and a memory of the mobile device.

### Claim 4 (depends on 3)

The protection system of claim 3, wherein the customer information includes a copy of an identification document.

### Claim 5 (depends on 3)

The protection system of claim 3, wherein the customer information includes biometric information.

### Claim 6 (depends on 3)

The protection system of claim 3, wherein the end user terminal includes a local memory, and information on transactions of the controlled substance are stored in the local memory of the end user terminal.

### Claim 7 (depends on 6)

The protection system of claim 6, wherein the local database of the end user terminal synchronizes with the database to store updated information from the end user terminal.

### Claim 8 (depends on 1)

The protection system of claim 1, further comprising an inventory database storing information regarding available inventories of the controlled substance at the individual shops.

### Claim 9 (depends on 1)

The protection system of claim 1, wherein the compliance reporting system records every purchase and sale of the controlled substance made at the individual shops in the database.

### Claim 10 (depends on 9)

The protection system of claim 9, wherein the compliance reporting system accesses the purchase records of the individual shops for anti-money laundering reporting to the government.

### Claim 11 (depends on 8)

The protection system of claim 8, wherein the compliance reporting system stores compliance rules for the purchase and sale of the controlled substance.

### Claim 12 (depends on 11)

The protection system of claim 11, wherein the compliance rules include information regarding maximum dollar amount for each transaction, maximum number of transactions allowed per customer, or quantity limit of controlled substance.

### Claim 13 (depends on 12)

The protection system of claim 12, wherein if the compliance reporting system determines that the dollar amount of the retail transaction is greater than the maximum dollar amount for the transaction, as specified in the compliance rules saved in the database, the compliance reporting system places the transaction on hold.

### Claim 14 (depends on 12)

The protection system of claim 12, wherein the compliance reporting system stops a transaction, if the compliance reporting system determines that the retail quantity is greater than the purchase quantity limit of the controlled substance.

### Claim 15 (depends on 1)

The protection system of claim 1, wherein the compliance reporting system stops a transaction, if the compliance reporting system determines that the dollar amount of the transaction is under a threshold level.

### Claim 16

A method for tracking and securing the purchase and sale of a controlled substance, the method comprising:
storing in a database information of a plurality of customers and information regarding government regulations on purchase and sale of the controlled substance;
recording transactions of the controlled substance on an end user terminal at an individual shop, the end user terminal is in communication with the database over a network; and
comparing information about one customer and information concerning the purchase of the controlled substance on the end user terminal to information stored in the database regarding the government regulations and the customer with a server in communication with the database and the end user terminal over the network, wherein the compliance reporting system prevents the purchase of the controlled substance based on the comparison.

### Claim 17 (depends on 16)

The method of claim 16, wherein comparing information about one customer and information concerning the purchase of the controlled substance on the end user terminal to information stored in the database regarding the government regulations and the customer with a server is done in real time.

### Claim 18 (depends on 16)

The method of claim 16, further comprising verifying customer identification.

### Claim 19 (depends on 16)

The method of claim 16, further comprising synchronizing a local database of the end user terminal with the database to store updated information from the end user terminal.

### Claim 20 (depends on 16)

The method of claim 16, further comprising accessing the purchase records of the individual dispensaries for anti-money laundering reporting to the government.