EFTA01360887.pdf

DB12000P - Deutsche Bank Private Bank Alert Batch Date: 05/29/2013 Alert Date: 05/29/2013 Organization: Southern Financial LLC Address: Countty United States Tracking ID: 6229369 Reporting ID: 6229369 Alert #: 7 Alert ID: 1559801.11522860.24893031 Entity Information Entity ID: Entity Name: Southern Financial Group Alias: SFG Event: SEC - SEC Violations (Insider Trading, Securities Fraud) ACT - Disciplinary, Regulatory Action 0429/2008, Litigation Release No. 20543/ Securities and Exchange Commission v. Elfindepan. S.A., et al., United States District Court for the Middle District of North Carolina, Civil Action No. 1:00CV00742 Final Judgments Entered Against Elfindepan S.A., Strategic Asset Funds S.A.. and Southem Financial Group for Fraudulent High-Yield Investment Scam. Source Information RDC URL: https://orid.rdc.conVwss/entity.html?entityld=28d4c04c98834f5f5d3f3d53eb346cc4 Source Name: SEC Litigation Releases - 2008, 11/11/2009 Source URL: http://www.sec.govnitigation/litreleases/Irtrelarchive/litarchive2008.shtml Entity URL: http://www sec.gov/litigationAitreleases/2008/Ir20543.htm Censistent varli the terms and conditions of your RDC Subscriber Agreement the otormaten contemned in thrsdecumeM Is for alert purposes only and is rot to be lead lee purposes ol detenrsreng an 'Medved, eheablity to any aedt or any other FCRA permrsehle purposes User bother ag ees to hod such mittens! and etc/matron in settee conhdenx. not to mike use thereof ether then to autlonzed Renew& to mete it only te employees reaming such rrelcanatesee and not to release or disci:seat° any other Party The Alert ntennabon contained in the document nay or troy not pertain ti the indrndual or entity referenced et your inquiry. Page 7 of 10 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0049519 CONFIDENTIAL SDNY_GM_00195703 EFTA01360887