EFTA01358162.pdf

rdc Entity: Southern Financial Group, Inc. Entity Information Entity ID: Entity Name: Southern Financial Group, Inc. Address: South Carolina, UNITED STATES Event: • SEC - SEC Violations (Insider Trading. Securities Fraud) ACT - Disciplinary, Regulatory Action 03/09/2005, The Commission alleged that Southern's books and financial records inaccurately reflected a cash balance in an account ranging from $226,931.80 to $240,006.80; Southern failed to promptly give notice to the Commission and others of the net capital deficiencies as required by law, and that, the reports filed by Southern were inaccurate in that they misrepresented Southern's cash position and failed to include certain liabilities. • SEC - SEC Violations (Insider Trading. Securities Fraud) ACT - Disciplinary. Regulatory Action 02/15/2005, Named in the civil action entitled Securities and Exchange Commission v. Southern Financial Group, Inc., Richard M. Wooten, Charles Dennis McKittrick and Gerald F. Hunter, Jr., Civil Action Number 2:02-1806-18, in the United States District Court for District of South Carolina, Charleston Division. Source Information RDC URL: https://grid.rdc.conWiss/entity.html?entityld=712ec7c8d33eaffa5d3f3d53eb346cc4 Source Name: SEC Administrative Proceedings - 2005. 07/17/2009 Source URL• http:ftww.sec.qov/litigation/admin/adminarchive/adminarc2005.shtml Entity URL: • http://www.sec.gov/fitigabon/admin/34-51207.htm • http://www.sec.govilitigation/admin/34-51349.htm CcpyrgN O 2013 Regulatory DataCorp. Inc All Rat's Reserved Docvmenl generated on 0512En20. 13 12 08 41 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0045573 CONFIDENTIAL SDNY_GM_00191757 EFTA01358162