EFTA01371146.pdf

rdc Organization: Southern Financial LLC DB12000P - Deutsche Bank Private Bank Batch Date: 6/15/2017 Added to Monitoring: 06/15/2017 Alert Date: Alert 6/15f2017 Address: Country VIRGIN ISLANDS, U.S. Tracking ID: KYC 1790655 Reporting ID: Alerted Entity ft 4 of 4 Risk Priority: Critical Alert ID: 9476247.11602637.63653446 Entity Information Entity ID: 63653446 Riskid: R22433111 Entity Name: Southern Financial Group Inc. Address: Summerville Recent Event(s): • SEC - SEC Violations (Insider Trading, Securities Fraud) / ACC - Accuse, 12/15/2008 accused of running a so-called Ponzi scheme by soliciting cash from new investors to pay off redemptions to earlier investors, 12/15/2008, The Post and Courier (MCT) Event: • SEC - SEC Violations (Insider Trading, Securities Fraud) / ACC - Accuse, 12/15/2008 accused of running a so-called Ponzi scheme by soliciting cash from new investors to pay off redemptions to earlier investors, 12/15/2008, The Post and Courier (MCT) Alert Notes Notes: Southern Financial Group Inc.. was accused of running a so-called Ponzi scheme by soliciting cash from new investors to pay off redemptions to earlier investors. Source Information RDC URL: https://grid.rdc.comrwss/entity.html?entityldrcd06df1e138aac735d3f3d53eb346cc4 Source Name: RiskConnect, 06/14/2017 Sources: The Post and Courier (MCT), MEDIA Article,Headline:The Post and Courier, Charleston, S C.. On Business column, http://globalfadiva.conVen/durartide.asp?NAPC=S&AccessionNorKRTCN00020081216e4c100001 Consistent nth the terms and can:Monsof your RDC Subscribe! Agreement, the irdoerrahon contained m thrs dccument Is for alert purposes only and rs not to be used /CC purposes of deterrnntrog an isdroduals etre:dry la any aedit of any Atha FCRA penrossble purposes User fuller agrees to hold such maternal and informatcn in strictest conlodence nog to make use thereof other than la authaved purpose• to relate a only to ereplores recearma such orstarralon, and not to release or disclosed to any other party The Alert Samba, cartooned in trio document nay er may not penal, to the ondrodual or slaty referenced et your atonic),. Page golf. CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0064358 CONFIDENTIAL SDNY_GM_00210542 EFTA01371146