EFTA01360884.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 #: 2 Alert ID: 1559801.11522860.41603821 Entity Information Entity ID: 41603821 Entity Name: Southern Financial Group Address: North Carolina, UNITED STATES Event: 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. Source Information RDC URL: httpsi/grid.rdc.conVwss/entrtyhtml?entityld=f0a4cd957f6297875d3f3d53eb346cc4 Source Name: SEC Litigation Releases - 2002. 05/12/2012 Source URL: http://wvwv.sec.gov/litigationAitreleases/litrelarchive/litarchive2002.shtml Entity URL: Mtp://vAvw.sec.gov/litigationAitreleases/Ir17723.htm Conatent oith the terms and modems of year RDC Subscriber Agreement the informaban contanedothrs elecument is for alert purposes only and a not to be used fee purposes ol deteriorate an ecloduals elogoterty 101 any aedt or any ether FCRA pernoseble purposes User lather agrees to hold such natural and inkimsbon 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 disclose a to any other party The Alert mimosa.= contained m the document rray or rray not pertain ti the inelmelual a entity referenced o your Mary. Page 2 of 10 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0049514 CONFIDENTIAL SDNY_GM_00195698 EFTA01360884