EFTA01360924.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: 2 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://erid.rdc.conVwss/entity.html?entityld=28d4c04c98a34f5f5d3f3d53eb346cc4 Source Name: SEC Litigation Releases - 2008, 11/11/2009 Source URL: http://www.sec.govilitigation/litreleases/Irtrelarchive/litarchive2008.shtml Entity URL: http://www sec.gov/litigationAitreleases/2008/Ir20543.htm Censistent ..t the terms and o:n6tions 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, eheabety for any aedt or any other FCRA permeable purposes User bother ag ees to hod such national and etc/matron in settee conrdenx. not to make use thereof Meg than to autlonzed purposes to mete it only to employees reaming such irdearratesee and not to release or disclosed to any other Party The Alert ntennabon contained in the document nay or troy not pertain ti the mdrerdual or entity referenced n your inquiry. Rage 7 of 10 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0049607 CONFIDENTIAL SDNY_GM_00195791 EFTA01360924