EFTA01364022.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 Reporting ID: Alerted Entity ft 1 of 4 Risk Priority: Critical Alert ID: Entity Information Entity ID: Riskid: MI Entity Name: Southern Financial Group Inc. Address: • Charleston. South Carolina. UNITED STATES • Columbia, South Carolina. UNITED STATES Recent Event(s): • SEC - SEC Violations (Insider Trading, Securities Fraud) / CHG - Charged, 02/11/2008 Southern Financial Group was later shut down by the Securities and Exchange Commission after being charged in 2002 with a 525 million Ponzi scheme. The alleged fraud was unrelated to the Capstone bonds., 02/11/2008, Investment News Consistent nth the terms and can:Mons ol your RDC Subscribe! Agreement the irdoerrahan curtained m thrs dccument s for alert purposes only and rs not to be used /CC purposes of deterrnntrig an isdroduals etre:dry la any aedit of any otha FCRA permassble purposes User further agrees to hold such maternal and informaten in strictest confidence, nog to mate use therml other than la authaved purpcses, to relate a only to ereplores renewing such orearralon, and not to release or disclosed to any other party The Alert Somata, contained in trio document nay at may not penal, to the indndual or entity referenced et your atonic), Page I ol 9 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0054522 CONFIDENTIAL SDNY_GM_00200706 EFTA01364022