EFTA01368244.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 #: 2 of 3 Risk Priority: Critical Alert ID: 12934335.309213.64747171 Entity Information Entity ID: 64747171 Riskld: R22436125 Entity Name: Southern Financial Services Alias: Southern Financial Services Inc. Address: Asheville, North Carolina. UNITED STATES Recent Event(s): • FRD - Fraud, Scams, Swindles / ASC - Associated with, Seen with, 02/04/2011 U.S. Attorney Anne M. Tompkins announced that, James W. -Br Bailey, Jr. had his initial appearance on three federal criminal counts, Securities Fraud, Mall Fraud and Filing False Tax Returns Charges, which was filed in a Bill of Information in U.S. District Court in Asheville on February 1, 2010. The counts against Bailey charge that he engaged in a "Ponzi" scheme from about January 2000 to December 2010 to defraud Investors of more than $13 million. According to the Bill of Information, the defendant founded and operated Southern Financial Services Inc, 1031 Exchange Services, LLC and AVL Properties, LLC in Asheville. Court documents state that through Southern Financial Services Inc., Bailey fraudulently induced clients to deposit monies and purported to provide asset management, IRA accounts, and wills and trusts services., 02/04/2011, DOJ US Attorneys Offices Press Releases 2009 to 2012 • SEC - SEC Violations (Insider Trading, Securities Fraud) / ASC - Associated with. Seen with, 02/04/2011 U.S. Attorney Anne M. Tompkins announced that, James W. "Biir Bailey, Jr. had his initial appearance on three federal criminal counts, Securities Fraud, Mail Fraud and Filing False Tax Returns Charges, which was filed in a Bill of Information in U.S. District Court in Asheville on February 1. 2010. The counts against Bailey charge that he engaged In a "Ponzi" scheme from about January 2000 to December 2010 to defraud investors of more than $13 million. According to the Bill of Information, the defendant founded and operated Southern Financial Services Inc, 1031 Exchange Services, LLC and AVL Properties, LLC in Asheville. Court documents state that through Southern Financial Services Inc., Bailey fraudulently induced clients to deposit monies and purported to provide asset management, IRA accounts, and wills and trusts services., 02/04/2011, DOJ US Attorneys Offices Press Releases 2009 to 2012 • TAX - Tax Related Offenses / ASC - Associated with, Seen with, 02/04/2011 U.S. Attorney Anne M. Tompkins announced that, James W. "Bill' Bailey. Jr. had his initial appearance on three federal aiminal counts, Securities Fraud, Mail Fraud and Filing False Tax Returns Charges. which was filed in a Bill of Information in U.S. District Court in Asheville on February 1, 2010. The counts against Bailey charge that he engaged in a "Ponzi- scheme from about January 2000 to December 2010 to defraud investors of more than $13 million. According to the Bill of Information, the defendant founded and operated Southern Financial Services Inc. 1031 Exchange Services. LLC and AVL Properties, LLC in Asheville. Court documents state that through Southern Financial Services Inc., Bailey fraudulently induced clients to deposit monies and purported to provide asset management, IRA accounts, and wills and trusts services., 02/04/2011. DOJ US Attorneys Offices Press Releases 2009 to 2012 Event • FRD - Fraud, Scams, Swindles / ASC - Associated with, Seen with, 02/04/2011 U.S. Attorney Anne M. Tompkins announced that, James W. "Bill• Bailey, Jr. had his initial appearance on three federal aiminal counts, Securities Fraud, Mail Fraud and Filing False Tax Returns Charges, which was filed in a Bill of Information in U.S. District Court in Asheville on February 1, 2010. The counts against Bailey charge that he engaged in a "Ponzr scheme from about January 2000 to December 2010 to defraud investors of more than $13 million. According to the Bill of Information, the defendant founded and Consistent yeah the toms and condiborts of your RDC Subscriber Agreement the Sorrnaticn conlasned in this document is for Sart purposes any and is not to be used for purposes of determining an brvtltofs idgblay for any credit a any other FORA permissible purposes. User father sprees lo hold such material end informal:On in strictest contdtra, motto irate use thereof otter then for authalzed purposes. to rebate lorfy to employees reacting such informationt and not to release cc dodos, 4 SD any other party. The Nett irformation contained in the document may or racy rot pertain to the individual or witty referenced in your inquiry. Par3 5 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0059912 CONFIDENTIAL SDNY_GM_00206096 EFTA01368244