EFTA01371140.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 6/15/2017 Address: Country VIRGIN ISLANDS, U.S. Tracking ID: KYC 1790655 Reporting ID: Alerted Entity # 1 of 4 Risk Priority: Critical Alert ID: 9476247.11602637.65444359 Southern Financial Group was later shut down by the Securities and Exchange Commission after being charged in 2002 with a $25 million Ponzi scheme. The alleged fraud was unrelated to the Capstone bonds., 02/11/2008. Investment News Alert Notes Notes: Southern Financial Group Inc. . was charged with securities fraud . Source Information RDC URL: https://grid.rdc.conVwss/entily.html?entityld=3012122812fb8b125d3f3d53eb346cc4 Source Name: RiskConnect, 06/14/2017 Entity URL: • http://www.sec.govaitigation/litreleasesift19009.htm • http://www.sec.govaitigation/litreleasesAr19060.htm • http://www.sec.govaitigation/admin/34-50966.htm • http://www.sec.govaitigation/admin/34-51207.htm • http://www.sec.govnitigation/admin/34-51349.Mm • http://wimiv.sec.govAitigation/litreleasesfir17574.htm • http://www.sec.govfiitigation/litreleases/k17569.htm • http://www.sec.govaifigation/litreleasesfir17535.htm Sources: • Investment News, MEDIA Article,Headline:FINRA board members firm embroiled in muni fraud case; Jury awards plaintiff $1.2 million, http://globatfactiva.conVen/du/article.asp?NAPC=S&AccessionNo=INVN000020080215e42b00009 SEC Litigation Releases - 2004, SEC Litigation Releases - 2004. http://www.sec.govaitigation/fitreleasesaitrelarchivefidarchive2004.shtml SEC Litigation Releases - 2005. SEC Litigation Releases - 2005, http://www.sec.govaitigation/litreleasesAitrelarchiveilitarchive2005.shtml SEC Administrative Proceedings - 2005, SEC Administrative Proceedings - 2005. http://www.sec.govaitigation/admin/adminarchive/adminarc2005.shtml SEC Litigation Releases - 2002. SEC Litigation Releases - 2002, http://www.sec.govaitigation/fitreleasesAitrelarchivefidarchive2002.shtml Co-modest mitt the terms and modems d your RDC Sutsonber Agreement the informaban contained n ths document is for alert purposes only and not to be used la purposes of deteernntng an reclreoluafs avidly la any aerie or any other FCRA gamut* purposes User further agrees to hold such matenal and intonation in totes! ccedIdence. not to matte use thereof other than la authaged purposes to relate a only to employees rogueing such sterrohon, and not to release a disclose n to any other party The Alert Somata, contained in the cicourrent nay or my not pertain to the ond.odual a 'May referenced et your ilquily. Page 3 of 9 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0064352 CONFIDENTIAL SDNY_GM_00210536 EFTA01371140