EFTA01364025.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 # 2 of 4 Risk Priority: Critical Alert ID: 9476247.11602637.65374193 Entity Information Entity ID: 65374193 Riskid: R2601172 Entity Name: Southern Financial Group Alias: SFG Address: Greensboro. North Carolina. UNITED STATES Recent Event(s): • SEC - SEC Violations (Insider Trading, Securities Fraud) / ACT - Disciplinary. Regulatory Action, 04/29/2008 The SEC announced that the USDC for the Middle District of North Carolina entered final judgments against defendants Elfindepan. S.A., Strategic Asset Funds, S.A.. and Southern Financial Group for their roles in a high-yield investment scheme. Elfindepan, a defunct Costa Rican company, SAF. a defunct Panamanian company, and SFG, a de facto trust, were controlled by defendant Tracy Dunlap. The Commission alleging that Elfindepan, SFG, SAF, and others defrauded investors nationwide of approximately $30 million in connection with a high-yield investment scheme involving the unregistered offer and sale of Securities of Elfindepan, a purported Costa Rican financial company; alleges that Elfindepan made numerous materially false and misleading statements including promising investors that their investments were secure and would yield returns of as much as 40% to 50% per month., 04,29/2008, SEC Litigation Releases - 2008 Calsertent hith the terrrs and castrates d your RDC Sutsaber Agreement the inforrnaban contained in ths docurnent is for alert purposes only and not to be used lot purposes of deteernryng an eclrecluafs avidly la any erode or any other FCRA permissible purposes User further agrees to hold such national and intonation in sects! ccedIdence. not to (rake use thereof other than la sythageo purposes to Safe a Only to employees revering such rrecerrohco, and not to release a disclosed to any other party The Alert Somata, contained in the document nay or my not pertain to the oneln,dual a entity referenced et your ilquily. Page 4 at CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0054525 CONFIDENTIAL SDNY_GM_00200709 EFTA01364025