EFTA01358158.pdf

rdc Organization: Southern Financial LLC DB12000P - Deutsche Bank Private Bank Batch Date: 05/29/2013 Alert Date: Alert 05/29/2013 Address: Counhy United States Tracking ID: 6229369 Reporting ID: 6229369 Alert*: 6 Alert ID: 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 06117/2002, 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://orid.rdc.comrviss/entity.henl?entityld=a7a395d6a12368e75d3f3d53eb346cc4 Source Name: SEC Litigation Releases - 2002. 05/12/2012 Source URL: http://www.sec.govilitigationAitreleases/litrelarchive/litarchive2002.shtml Entity URL: • htuhi secici p::/Avv/w..s go ovi/il t:g gat io on/IIbittreler se esA sArri 756794. htm • lAtp://www sec govnitigation/litreleasesArl 7535 htm Consistent %Oh the terms and cznations of your RDC Subscriber Agreement the elormatnn contarned n ths document is for alert purposes only and is nab be use., la purposes ol determining an video:Wats ellablity to any aedt or any other FCRA permeable purposes Use, bother erg ees to It'd such nuttiest and efermsbon n lacteal confdence not to make use thereof COW than lot authoraed purposes to relate t only to employees reaming such trdermatom and not to release or <led:sotto any other party The Alert Sonnet= oantered on the document rray or may not pertain bee ndmdual or entity referenced in you, 'Nutty. Page a of 10 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0045564 CONFIDENTIAL SDNY GM_00191748 EFTA01358158