EFTA01356038.pdf

rdc Organization: Southern Financial LLC DB12000P - Deutsche Bank Private Bank Batch Date: 2/22/2018 Added to Monitoring: 02/22/2018 Alert Date: Alert 2/22/2018 Address: ok,i.wity VIRGIN ISLANDS. U.S. Tracking ID: GCIS 00000483882 Reporting ID: Alerted Entity 1 of 3 Risk Priority: Critical Alert ID: 12737031.11622715 65374193 on their assertion of Dunlap's personal Fifth Amendment privilege against self-incrimination., 04/26/2001. SEC Litigation Releases - 2001 • SEC - SEC Violations (Insider Trading. Securities Fraud) / ACT - Disciplinary. Regulatory Action. 08/10/2000 The SEC filed a fraud case in the United States District Court for the Middle District of North Carolina against Elfindepan, S.A.. Southern Financial Group, Tracy Calvin Dunlap. Jr. and Barry Lowe. The SEC complaint alleges that, the defendants defrauded investors nationwide in an apparent Ponzi or pyramid scheme in connection with the unregistered offer and sale of the securities of Elfindepan. alleges that in connection with these offerings, defendants knowingly and recklessly made, and caused others to make, numerous materially false and misleading statements to investors, defendants promised investors highly favorable returns on investments, without any reasonable basis for such claims, and falsely stated that the investments were secure, including false claims that Elfindepan investments were associated with the International Monetary Fund and the World Bank and also alleges that defendants knowingly or recklessly failed to disclose certain material facts to investors regarding Elfindepan., 08/1012000, SEC Litigation Releases - 2000 Alert Notes Notes: Southern Financial Group, aka SFG, was charged with securities fraud. Source Information RDC URL: htqnfigrid.rdc.conVwssfentityhtml?entityld=3dcbt500405acc025d3f3d53eb346cc4 Source Name: RiskConnect, 02/22/2018 Entity URL: . http://www sec.goWlitigationfIrtreleasesfIr17723.htm • http /fwww.sec goWlitigationflitreleases/2008/120543 htm • http //www. sec. goyflitigationfIrtreleasesfIr16977.htm • http://www. sec.govAttigabonfIrtreleaseVir 16649.htm • http //www.sec govArtigation/litreleases/Ir16892 htm Sources: • SEC Litigation Releases - 2002, SEC Litigation Releases - 2002, http://www.sec.govilitigation/litreleases/litrelarchiveAitarchive2002.shtml SEC Litigation Releases - 2008, SEC Litigation Releases - 2008, http://www.sec.govffitigation/litreleases/litrelarchiveAdarchive2008.shtml SEC Litigation Releases - 2001, SEC Litigation Releases - 2001, http://www.sec.gov/litigation/litreleasesilitrelarchivelitarchive2001.shtml SEC Litigation Releases - 2000, SEC Litigation Releases - 2000, http://www.sec.govnitigation/liffeleases/liffelarchive/litarchive2000.shtml Consistent bet the termsand ccodtbons of your RCC Subscriber Agreement the edam:eon corbeled in the documental's( ben purposes only ands not to be used la purposes of deterrnuarg an indenduars O'Day for any credit or any other FORA permeable purposes User baker agrees to hold such rralerial and information ri strictest °earldom/errata crake use bawl other eon for authorized purposes. to rebte tarty to employees rogueing SIX11 darnel= and not to release or disclose t to any other party The Alert intim/Mal contatied in this docunent rray of may net Foram to te inchoate' a entity referenced in 'OW maim. Page 2 ce S CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0041446 CONFIDENTIAL SDNY_GM_00187630 EFTA01356038