EFTA01358157.pdf

rdc Organization: Southern Financial LLC DB12000P - Deutsche Bank Private Bank Batch Date: 05/29/2013 Alert Date: Alert 05/29/2013 Address: Gauntly United States Tracking ID: 6229369 Reporting ID: 6229369 Alert #: 5 Alert ID: 1559801.11522860.25646082 Entity Information Entity ID: 25646082 Entity Name: Southern Financial Group Address: North Carolina, UNITED STATES Event: • SEC - SEC Violations (Insider Trading. Securities Fraud) ACT - Disciplinary. Regulatory Action 04/26/2001, LITIGATION RELEASE NO. 16977/ SEC V. SOUTHERN FINANCIAL GROUP 1:00CV00742 (August 10, 2000) COURT OF APPEALS AFFIRMS TRIAL COURT'S ORDER INCARCERATING DUNLAP FOR CONTEMPT. On March 15. 2001, the U.S. District Court for the Middle District of North Carolina adjudged defendants Elfindepan, S.A., Southern Financial Group and Tracy Calvin Dunlap, Jr. to be in civil contempt of court based on their refusal to obey court orders requiring them to produce documents. and account for and repatriate investor funds, related to their allegedly fraudulent investment schemes. • SEC - SEC Violations (Insider Trading, Securities Fraud) ACT - Disciplinary, Regulatory Action 02/08/2001, LITIGATION RELEASE NO. 16892 / SEC V. SOUTHERN FINANCIAL GROUP. (USDC Middle District of North Carolina, 1:00CV00742) amended complaint alleges that Southern Financial Group misappropriated millions of dollars from innocent investors through a fraudulent investment scheme commonly referred to as a "Prime Bank" scheme. Source Information RDC URL: https://grid.rdc.comAvss/entely.html?entityld=acd62503a7de83615d3f3d53eb346cc4 Source Name: SEC Litigation Releases - 2001. 03/02/2010 Source URL: http://www.sec.gov/litigationAitreleases/litrelarchive/litarchive2001.shtml Entity URL: • hitp://www.sec.govAitigation/litreleasesrtr16977.htm • http://www.sec.govrtitigation/litreleasesAr16892.htm Conatent oith the terms and coed eons of year RDC Subscriber Agreement the mformaban contamedmthaelecument is for alert purposes only and a not to be used fee purposes ol deteriorate an ecloduals 44614 101 any aedt or any ether FCRA pernoseble purposes User lather agrees to hold such natural and miamsbon in settee, confidence, not to make use thereof tenet than 101 0.40100200 00100.0 0 to reins t only to 01,040)000 030/0010, Stith InIcanabot and not to release or Mame a to any other party The Alert mimosa.= contained en the document rray or rray not pertain ti the salmi:Kai a entity referenced ri your Mary. Page 5 of 10 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0045563 CONFIDENTIAL SDNY_GM_00191747 EFTA01358157