EFTA01364029.pdf

rdc Organization: Southern Financial LLC DB12000P - Deutsche Bank Private Bank Batch Date: 6/15/2017 Added to Monitoring: 06/15/2017 Alert Date: Alert 6/15/2017 Address: Country VIRGIN ISLANDS, U.S. Tracking ID: KYC 1790655 Reporting ID: Alerted Entity # 3 of 4 Risk Priority: Critical Alert ID: 9476247.11602637.64747171 Event: • FRD - Fraud, Scams, Swindles! ASC - Associated with. Seen with, 02/04/2011 U.S. Attorney 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 "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 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 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 "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 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 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 "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 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 Alert Notes Notes: Southern Financial Services. aka Southern Financial Services Inc.. for fraudulently inducing clients to deposit monies and purported to provide asset management. IRA accounts. and wills and busts services. Source Information RDC URL: https.11urid.rdc.conVwss/entity.html?entityld=c9fe552c3e68e6325d3f3d53eb346cc4 Source Name: RiskConnect, 06/14/2017 Entity URL: http //www.justice gov/usao/ncw/press/billbailey. html Sources: DOJ US Attorneys Offices Press Releases 2009 to 2012, DOJ US Attorneys Offices Press Releases 2009 to 2012, http.//wwwlustice.gov/usao/offices/index.html Colsotent %eh the terms and ccerdstons d your RDC Subsonber Agreement the informaban contained in ths document Is for alert purposes only and not to be used fa purposes of deteernning an ecleveluars *Avidly la' any <Todd or any other FCRA permissible purposes User further agrees to hold such mistral and intonation in totes! co-dIdence. not to matte use thereof other than fa authorged purposes to relate a only to employees rogueing such ire:archon, and not to release a disclosed to any other party The Alert Somata, contained in the document nay or my not penain to the inclrodual a 'May referenced o your hooky. Page e ol CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0054529 CONFIDENTIAL SDNY_GM_00200713 EFTA01364029