EFTA01404439.pdf

DB12000P - Deutsche Bank Private Bank 05/29/2013 Batch Date: Organization: Southern Financial LLC Address: Country:United States Tracking ID: Alert #: 1 Entity Information Entity ID: Entity Name: Southern Financial Services, Inc. Address: Boca Raton, Florida, UNITED STATES Event: SEC - SEC Violations (Insider Trading, Securities Fraud) ACT - Disciplinary, Regulatory Action 08/13/2003, The SEC filed civil charges in federal district court in Miami, Florida against the former president of Dicom Imaging Systems, Inc. and five Florida stock promoters including Southern Financial Services, alleging that they used the Internet, press releases, spam e-mails, and televised interviews to commit securities fraud through baseless financial projections and the stock promoters' "scalping." The complaint also alleges that the promoters touted Dicom's stock but did not disclose all of the compensation they were to receive pursuant to signed agreements; alleges that Gane had Dicom hire the stock promoters in June and November 1999 to tout Dicom's stock in return for compensation; Gane supplied the promoters with Dicom's financial projections for the next three years: $24.7 million in revenues and $19.7 million in earnings; two of the promoters, Welsh and Tamburello, each wrote investment opinions that described Dicom as an investment. Source Information RDC URL: https://grid.rdc.com/wss/entity.html?- entityld=9af04c5228d562185d3f3d53eb346cc4 Source Name: SEC Litigation Releases - 2003, 11/14/2012 Source URL: http://www.sec.gov/litigation/litreleases/litrelarchive/- litarchive2003.shtml Entity URL: http://www.sec.gov/litigation/litreleases/lr18286.htm- • http://www.sec. ov/litigation/complaints/comp18286.htm Reporting ID: Alert ID: Alert Alert Date: 05/29/2013 Consistent with the terms and conditions of your RDC Subscriber Agreement, the information contained in this document is for alert purposes only and is not to be used for purposes of determining an individuals eligibility for any credit or any other FCRA permissible purposes. User further agrees to hold such material and information in EFTA01404439 strictest confidence, not to make use thereof other than for authorized purposes, to relate it only to employees requiring such information, and not to release or disclose it to any other party. The Alert information contained in this document may or may not pertain to the individual or entity referenced in your inquiry. Page 1 of 10 EFTA01404440 DB12000P - Deutsche Bank Private Bank 05/29/2013 Batch Date: Organization: Southern Financial LLC Address: Country:United States Tracking ID: Alert #: 2 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: https://grid.rdc.com/wss/entity.html?- entityld=f0a4cd957f6297875d3f3d53eb346cc4 Source Name: SEC Litigation Releases - 2002, 05/12/2012 Source URL: http://www.sec.gov/litigation/litreleases/litrelarchive/- litarchive2002.shtml Entity URL: htiiiiiiiw.sec.gov/litigation/litreleases/lr17723.htm Reporting ID: Alert ID: 1559801.11522860.41603821 Alert Alert Date: 05/29/2013 Consistent with the terms and conditions of your RDC Subscriber Agreement, the information contained in this document is for alert purposes only and is not to be used for purposes of determining an individuals eligibility for any credit or any other FCRA permissible purposes. User further agrees to hold such material and information in strictest confidence, not to make use thereof other than for authorized purposes, to relate it only to employees requiring such information, and not to release or disclose it to any other party. The Alert information contained in this document may or may not pertain to the individual or entity referenced in your inquiry. Page 2 of 10 EFTA01404441 DB12000P - Deutsche Bank Private Bank 05/29/2013 Batch Date: Organization: Southern Financial LLC Address: Country:United States Tracking ID: Alert #: 3 Entity Information Entity ID: Entity Name: Southern Financial Group, Inc. Address: South Carolina, UNITED STATES Event: SEC - SEC Violations (Insider Trading, Securities Fraud) ACT - Disciplinary, Regulatory Action • 03/09/2005, The Commission alleged that Southern's books and financial records inaccurately reflected a cash balance in an account ranging from $226,931.80 to $240,006.80; Southern failed to promptly give notice to the Commission and others of the net capital deficiencies as required by law; and that, the reports filed by Southern were inaccurate in that they misrepresented Southern's cash position and failed to include certain liabilities. • SEC - SEC Violations (Insider Trading, Securities Fraud) ACT - Disciplinary, Regulatory Action 02/15/2005, Named in the civil action entitled Securities and Exchange Commission v. Southern Financial Group, Inc., Richard M. Wooten, Charles Dennis McKittrick and Gerald F. Hunter, Jr., Civil Action Number 2:02-1806-18, in the United States District Court for District of South Carolina, Charleston Division. Source Information RDC URL: https://grid.rdc.com/wss/entity.html? entityId=712ec7c8d33eaffa5d3f3d53eb346cc4 Source Name: SEC Administrative Proceedings - 2005, 08/08/2009 Source URL: http://www.sec.gov/litigation/admin/adminarchive/- adminarc2005.shtml Entity URL: http://www.sec.gov/litigation/admin/34-51207.htm- • http://www.sec. ov/litigation/admin/34-51349.htm Reporting ID: Alert ID: Alert Alert Date: 05/29/2013 Consistent with the terms and conditions of your RDC Subscriber Agreement, the information contained in this document is for alert purposes only and is not to be used for purposes of determining an individuals eligibility for any credit or any other FCRA permissible purposes. User further agrees to hold such material and information in EFTA01404442 strictest confidence, not to make use thereof other than for authorized purposes, to relate it only to employees requiring such information, and not to release or disclose it to any other party. The Alert information contained in this document may or may not pertain to the individual or entity referenced in your inquiry. Page 3 of 10 EFTA01404443 DB12000P - Deutsche Bank Private Bank 05/29/2013 Batch Date: Organization: Southern Financial LLC Address: Country:United States Tracking ID: Alert #: 4 Entity Information Entity ID: Entity Name: Southern Financial Group, Inc. Address: South Carolina, UNITED STATES Event: SEC - SEC Violations (Insider Trading, Securities Fraud) ACT - Disciplinary, Regulatory Action 12/22/2004, The Securities and Exchange Commission announced that the Honorable David C. Norton, United States District Judge for the District of South Carolina, Charleston Division, entered Final Judgments as to Defendants Southern Financial Group, Inc. (Southern), Richard M. Wooten (Wooten) and Charles Dennis McKittrick (McKittrick). Source Information RDC URL: https://grid.rdc.com/wss/entity.html?- entity1d=67b955a58510d8e75d3f3d53eb346cc4 Source Name: SEC Litigation Releases - 2003, 11/14/2012 Source URL: http://www.sec.gov/litigation/litreleases/litrelarchive/- litarchive2003.shtml Entity URL: http://www.sec.gov/litigation/litreleases/lr19009.htm Reporting ID: Alert ID: Alert Alert Date: 05/29/2013 Consistent with the terms and conditions of your RDC Subscriber Agreement, the information contained in this document is for alert purposes only and is not to be used for purposes of determining an individuals eligibility for any credit or any other FCRA permissible purposes. User further agrees to hold such material and information in strictest confidence, not to make use thereof other than for authorized purposes, to relate it only to employees requiring such information, and not to release or disclose it to any other party. The Alert information contained in this document may or may not pertain to the individual or entity referenced in your inquiry. Page 4 of 10 EFTA01404444 DB12000P - Deutsche Bank Private Bank 05/29/2013 Batch Date: Organization: Southern Financial LLC Address: Country:United States Tracking ID: Alert #: 5 Entity Information Entity ID: Entity Name: Southern Financial Group Address: North Carolina, UNITED STATES Event: SEC - SEC Violations (Insider Trading, Securities Fraud) ACT - Disciplinary, Regulatory Action • 04/26/2001, LITIGATION RELEASE NO. 16977/ SEC V. SOUTHERN FINANCIAL GROUP 1:00CV00742 (August 10, 2000) COURT OF APPEALS AFFIRMS TRIAL COURT'S ORDER INCARCERATING DUNLAP FOR CONTEMPT. On March 15, 2001, the U.S. District Court for the Middle District of North Carolina adjudged defendants Elfindepan, S.A., 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. • SEC - SEC Violations (Insider Trading, Securities Fraud) ACT - Disciplinary, Regulatory Action 02/08/2001, LITIGATION RELEASE NO. 16892 / SEC V. SOUTHERN FINANCIAL GROUP, (USDC Middle District of North Carolina, 1:00CV00742) amended complaint alleges that Southern Financial Group misappropriated millions of dollars from innocent investors through a fraudulent investment scheme commonly referred to as a "Prime Bank" scheme. Source Information RDC URL: https://grid.rdc.com/wss/entity.html?- entityld=acd62503a7de836f5d3f3d53eb346cc4 Source Name: SEC Litigation Releases - 2001, 03/02/2010 Source URL: http://www.sec.gov/litigation/litreleases/litrelarchive/- litarchive2001.shtml Entity URL: http://www.sec.gov/litigation/litreleases/lr16977.htm- • http://www.sec.gov/litigation/litreleases/1r16892.htm Reporting ID: Alert ID: Alert Alert Date: 05/29/2013 Consistent with the terms and conditions of your RDC Subscriber Agreement, EFTA01404445 the information contained in this document is for alert purposes only and is not to be used for purposes of determining an individuals eligibility for any credit or any other FCRA permissible purposes. User further agrees to hold such material and information in strictest confidence, not to make use thereof other than for authorized purposes, to relate it only to employees requiring such information, and not to release or disclose it to any other party. The Alert information contained in this document may or may not pertain to the individual or entity referenced in your inquiry. Page 5 of 10 EFTA01404446 DB12000P - Deutsche Bank Private Bank 05/29/2013 Batch Date: Organization: Southern Financial LLC Address: Country:United States Tracking ID: Alert #: 6 Entity Information Entity ID: Entity Name: Southern Financial Group, Inc. Address: South Carolina, UNITED STATES Event: SEC - SEC Violations (Insider Trading, Securities Fraud) ACT - Disciplinary, Regulatory Action • 06/17/2002, Securities and Exchange Commission v. Southern Financial Group, Inc., Richard M. Wooten, Charles Dennis McKittrick and Gerald F. Hunter, Jr., Defendants, and Springdale Investments, Inc., Relief Defendant, United States District Court for the District of South Carolina, Charleston Division, Civil Action File No. 2:02-1806-18 • SEC - SEC Violations (Insider Trading, Securities Fraud) ACT - Disciplinary, Regulatory Action 06/19/2002, Securities and Exchange Commission v. Southern Financial Group, Inc., Richard M. Wooten, Charles Dennis McKittrick and Gerald F. Hunter, Jr., Defendants, and Springdale Investments, Inc., Relief Defendant, United States District Court for the District of South Carolina, Charleston Division, Civil Action File No. 2:02-1806-18 • SEC - SEC Violations (Insider Trading, Securities Fraud) ACT - Disciplinary, Regulatory Action 05/28/2002, SECURITIES AND EXCHANGE COMMISSION V. SOUTHERN FINANCIAL GROUP, INC. RICHARD M. WOOTEN, CHARLES DENNIS MCKITTRICK AND GERALD F. HUNTER, JR., United States District Court for the District of South Carolina, Charleston Division, Civil Action File No. 2:02-1806-18 (Filed May 24, 2002) Source Information RDC URL: https://grid.rdc.com/wss/entity.html?- entityld=a7a395d6a12368e75d3f3d53eb346cc4 Source Name: SEC Litigation Releases - 2002, 05/12/2012 Source URL: http://www.sec.gov/litigation/litreleases/litrelarchive/- litarchive2002.shtml Entity URL: http://www.sec.gov/litigation/litreleases/1r17574.htm• • http://www.sec.gov/litigation/litreleases/1r17569.htm • http://www.sec.gov/litigation/litreleases/1r17535.htm EFTA01404447 Reporting ID: Alert ID: Alert Alert Date: 05/29/2013 Consistent with the terms and conditions of your RDC Subscriber Agreement, the information contained in this document is for alert purposes only and is not to be used for purposes of determining an individuals eligibility for any credit or any other FCRA permissible purposes. User further agrees to hold such material and information in strictest confidence, not to make use thereof other than for authorized purposes, to relate it only to employees requiring such information, and not to release or disclose it to any other party. The Alert information contained in this document may or may not pertain to the individual or entity referenced in your inquiry. Page 6 of 10 EFTA01404448 DB12000P - Deutsche Bank Private Bank 05/29/2013 Batch Date: Organization: Southern Financial LLC Address: Country:United States Tracking ID: Alert #: 7 Entity Information Entity ID: Entity Name: Southern Financial Group Alias: SFG Event: SEC - SEC Violations (Insider Trading, Securities Fraud) ACT - Disciplinary, Regulatory Action 04/29/2008, 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 Southern Financial Group for Fraudulent High-Yield Investment Scam. Source Information RDC URL: https://grid.rdc.com/wss/entity.html?- entityld=28d4c04c98a34f5f5d3f3d53eb346cc4 Source Name: SEC Litigation Releases - 2008, 11/11/2009 Source URL: http://www.sec.gov/litigation/litreleases/litrelarchive/- litarchive2008.shtml Entity URL: http://www.sec.gov/litigation/litreleases/2008/1r20543.htm Reporting ID: Alert ID: Alert Alert Date: 05/29/2013 Consistent with the terms and conditions of your RDC Subscriber Agreement, the information contained in this document is for alert purposes only and is not to be used for purposes of determining an individuals eligibility for any credit or any other FCRA permissible purposes. User further agrees to hold such material and information in strictest confidence, not to make use thereof other than for authorized purposes, to relate it only to employees requiring such information, and not to release or disclose it to any other party. The Alert information contained in this document may or may not pertain to the individual or entity referenced in your inquiry. Page 7 of 10 EFTA01404449 DB12000P - Deutsche Bank Private Bank 05/29/2013 Batch Date: Organization: Southern Financial LLC Address: Country:United States Tracking ID: Alert #: 8 Entity Information Entity ID: Entity Name: Southern Financial Group, Inc. Address: Charleston, SC, UNITED STATES Event: FRD - Fraud, Scams, Swindles ALL - Allege 12/22/2004, alleged that Southern raised at least $25 million through a fraudulent scheme involving the sale of short-term notes on behalf of UC Properties LLC. Source Information RDC URL: https://grid.rdc.com/wss/entity.html?- entityld=c5d5dba1600b314f5d3f3d53eb346cc4 Source Name: SEC Litigation Releases - 2004, 05/12/2012 Source URL: http://www.sec.gov/litigation/litreleases/litrelarchive/- litarchive2004.shtml Entity URL: htt ://www.sec.gov/litigation/litreleases/lr19009.htm Reporting ID: Alert ID: Alert Alert Date: 05/29/2013 Consistent with the terms and conditions of your RDC Subscriber Agreement, the information contained in this document is for alert purposes only and is not to be used for purposes of determining an individuals eligibility for any credit or any other FCRA permissible purposes. User further agrees to hold such material and information in strictest confidence, not to make use thereof other than for authorized purposes, to relate it only to employees requiring such information, and not to release or disclose it to any other party. The Alert information contained in this document may or may not pertain to the individual or entity referenced in your inquiry. Page 8 of 10 EFTA01404450 DB12000P - Deutsche Bank Private Bank 05/29/2013 Batch Date: Organization: Southern Financial LLC Address: Country:United States Tracking ID: Alert #: 9 Entity Information Entity ID: Entity Name: Southern Financial Services Inc. Address: Asheville, NC, UNITED STATES 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 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. • 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 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 EFTA01404451 and trusts services. • 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. "Bill" 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. Source Information RDC URL: https://grid.rdc.com/wss/entity.html?- entityld=4b538c2393dee2cf5d3f3d53eb346cc4 Source Name: DOJ US Attorneys Offices Press Releases 2009 to 2012, 05/07/2013 Source URL: http://www.justice.gov/usao/offices/index.html Entity URL: htt ://www.justice.gov/usao/ncw/press/billbailey.html Reporting ID: Alert ID: Alert Alert Date: 05/29/2013 Consistent with the terms and conditions of your RDC Subscriber Agreement, the information contained in this document is for alert purposes only and is not to be used for purposes of determining an individuals eligibility for any credit or any other FCRA permissible purposes. User further agrees to hold such material and information in strictest confidence, not to make use thereof other than for authorized purposes, to relate it only to employees requiring such information, and not to release or disclose it to any other party. The Alert information contained in this document may or may not pertain to the individual or entity referenced in your inquiry. Page 9 of 10 EFTA01404452 DB12000P - Deutsche Bank Private Bank 05/29/2013 Batch Date: Organization: Southern Financial LLC Address: Country:United States Tracking ID: Alert #: 10 Entity Information Entity ID: Entity Name: Southern Financial Mortgage Corporation Address: Virginia, UNITED STATES Event: MOR - Mortgage Related ASC - Associated with, Seen with 07/13/2007, Mortgage License Revocations (since 1/1/95); Reason: Failure to file annual report as required by §6.1-418 Source Information RDC URL: https://grid.rdc.com/wss/entity.html?- entityld=6e121e2e9abf763c5d3f3d53eb346cc4 Source Name: VA State Corp Commission Mortgage License Revocations, 04/30/2010 Source URL: http://www.scc.virginia.gov/bfi/vio/mtg_rev.pdf Reporting ID: Alert ID: Alert Alert Date: 05/29/2013 Consistent with the terms and conditions of your RDC Subscriber Agreement, the information contained in this document is for alert purposes only and is not to be used for purposes of determining an individuals eligibility for any credit or any other FCRA permissible purposes. User further agrees to hold such material and information in strictest confidence, not to make use thereof other than for authorized purposes, to relate it only to employees requiring such information, and not to release or disclose it to any other party. The Alert information contained in this document may or may not pertain to the individual or entity referenced in your inquiry. Page 10 of 10 EFTA01404453