EFTA01368242.pdf

rdc Organization: Southern Financial DB27000P - Deutsche Bank - CAR Integration Batch Date: 3/15/2018 Added to Monitoring: 03/15/2018 Alert Date: Alert 3/16/2018 Address: Tracking ID: Reporting ID: Alerted Entity #: 1 of 3 Risk Priority: Critical Alert ID: Entity Information Entity ID: Risktd: Entity Name: Southern Financial Group Alias: SFG Address: Greensboro. North Carolina. UNITED STATES Recent Event(s): • SEC - SEC Violations (Insider Trading, Securities Fraud) / ACT - Disciplinary, Regulatory Action, 04/29/2008 The SEC announced that the USDC for the Middle District of North Carolina entered final judgments against defendants Elfindepan, S.A., Strategic Asset Funds, S.A., and Southern Financial Group for their roles in a high-yield investment scheme. Elfindepan, a defunct Costa Rican company, SAF, a defunct Panamanian company, and SFG, a de facto trust, were controlled by defendant Tracy Dunlap. The Commission alleging that Elfindepan, SFG, SAF. and others defrauded investors nationwide of approximately $30 milion in connection with a high-yield investment scheme involving the unregistered offer and sale of Securities of Elfindepan, a purported Costa Rican financial company; alleges that Elfindepan made numerous materially false and misleading statements including promising investors that their investments were secure and would yield returns of as much as 40% to 50% per month., 04/29/2008, SEC Litigation Releases - 2008 Event • SEC - SEC Violations (Insider Trading, Securities Fraud) / ACT - Disciplinary. Regulatory Action, 04/29/2008 The SEC announced that the USDC for the Middle District of North Carolina entered final judgments against defendants Elfindepan, S.A., Strategic Asset Funds, S.A., and Southern Financial Group for their roles in a high-yield investment scheme. Effindepan, a defunct Costa Rican company, SAF. a defunct Panamanian company, and SFG. a de facto trust, were controlled by defendant Tracy Dunlap. The Commission alleging that Elfindepan, SFG, SAF, and others defrauded investors nationwide of approximately $30 milion in connection with a high-yield investment scheme involving the unregistered offer and sale of Securities of Elfindepan, a purported Costa Rican financial company; alleges that Elfindepan made numerous materially false and misleading statements induding promising investors that their investments were secure and would yield returns of as much as 40% to 50% per month., 04/29/2008, SEC Litigation Releases - 2008 • SEC - SEC Violations (Insider Trading. Securities Fraud) / ACT - Disciplinary. Regulatory Action, 09/12/2002 The Court in this case adjudged defendants Elfindepan, Southern Financial Group, and Tracy Calvin Dunlap, Jr., to be in contempt of court and ordered Dunlap incarcerated based on their refusal to obey court orders requiring them to produce documents and account for and repatriate investor funds., 09/12/2002, SEC Litigation Releases - 2002 • SEC - SEC Violations (Insider Trading. Securities Fraud) / ACT - Disciplinary, Regulatory Action, 04/26/2001 On March 15, 2001, the U.S. District Court for the Middle District of North Carolina adjudged Elfindepan, SA.. 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. They refused to comply as ordered based Consistent yeah the lanes aid conditions of your RDC Subscriber Agreement the ratormaticn conlasned in this document is for Sen pumoses any and is not to be used for purposes of deterrnang an inervickeds McVay for any credit a any oiler FORA permissale purposes. User father agrees to hold such material end informal:On in strictest oanaderce, not to irate use thereof otter then for authalzed purposes. to rebate lore/ to employees reacting such informationt and not to release cc dodos, 4 to any other party. The Alert irformation contained in rtes document may or may rot pertain to the individual or entty referenced in your inquiry. Page 1 of 5 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0059910 CONFIDENTIAL SDNY_GM_00206094 EFTA01368242