EFTA01368245.pdf

rdc Organization: Southern Financial DB27000P - Deutsche Bank - CAR Integration Batch Date: 3/15/2018 Added to Monitoring: 03/15/2018 Alert Date: Alert 3/16/2018 Address: Tracking ID: Reporting ID: Alerted Entity #: 3 of 3 Risk Priority: Critical Alert ID: Entity Information Entity ID: RiskId: 822433111 Entity Name: Southern Financial Group Inc. Address: Summerville Recent Event(s): • SEC - SEC Violations (Insider Trading, Securities Fraud) / ACC - Accuse, 12/15/2008 accused of running a so-called Ponzi scheme by soliciting cash from new investors to pay off redemptions to earlier investors, 12/15/2008, The Post and Courier (Charleston SC) Event: • SEC • SEC Violations (Insider Trading, Securities Fraud) / ACC • Accuse, 12/15/2008 accused of running a so-called Ponzi scheme by soliciting cash from new investors to pay off redemptions to earlier investors, 12/15/2008, The Post and Courier (Charleston, SC) Alert Notes Notes: Southern Financial Group Inc.. was accused of running a so-called Ponzi scheme by soliciting cash from new investors to pay off redemptions to earlier investors. Source Information RDC URL: https://grid.rdc.com/wssientity.html?entityld=cd06dele138aac735d3f3d53eb346crA Source Name: RiskConnect, 03/15/2018 Sources: The Post and Courier (MCT), MEDIA Article,Headllne:The Post and Courier, Charleston, S.C., On Business column, http://global.factiva.comfen/du/anide.asp?NAPC=S8AccessionNo=KRTCN00020081216e4cf00001 Consistent vulth the terms and =oaten of your RDC Subscriber Agreement the ratorrnaticn conlasned in this document is for Sort pumoses any and is not to be used for purposes of determining an brvtleefs McVay for any credit or any other FORA permissible purposes. User I WOW agrees lo hold such material end informal:On in strictest confidence, motto irate use thereof otter then for authorized purposes. to rebate lorfy to employees reacting such informationt and not to release cc dodos, 4 SD any other party. The Alert irformation contained in ttes document may or may rot pertain to the individual or witty referenced in your inquiry. Page 6 of CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0059914 CONFIDENTIAL SDNY_GM_00206098 EFTA01368245