EFTA01371138.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 6/152017 Address: Country VIRGIN ISLANDS, U.S. Tracking ID: KYC 1790655 Reporting ID: Alerted Entity ft 1 of 4 Risk Priority: Critical Alert ID: 9476247.11602637.65444359 Entity Information Entity ID: 65444359 Riskid: R22434574 Entity Name: Southern Financial Group Inc. Address: • Charleston, South Carolina. UNITED STATES • Columbia, South Carolina. UNITED STATES Recent Event(s): • SEC - SEC Violations (Insider Trading, Securities Fraud) / CHG - Charged, 02/11/2008 Southern Financial Group was later shut down by the Securities and Exchange Commission after being charged in 2002 with a 325 million Ponzi scheme. The alleged fraud was unrelated to the Capstone bonds., 02/11/2008, Investment News Consistent nth the terms and coalitions ol your RDC Subscribe! Agreement the irdoerrahan curtained m thrs dccument Is for alert purposes only and rs not to be used /CC purposes of deeerrnntng an isdroduals etre:dry la any aedit of any other FCRA permsvbb purposes User further agrees to hold such maternal and informaten in strictest conlidence nog to make use thertol other than to' authaved purpcses, to relate I only to ereplores renewing such orderrralon. and not to release or disclosed to any other party The Alert Somata, contained in tors document nay ce may not penal, to the indrodual or entity referenced et your atonic), Page I of CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0064350 CONFIDENTIAL SDNY_GM_00210534 EFTA01371138