EFTA01360885.pdf

rdc Organization: Southern Financial LLC DB12000P - Deutsche Bank Private Bank Batch Date: 05/29/2013 Alert Date: Alert 05/29/2013 Address: Gauntly United States Tracking ID: 6229369 Reporting ID: 6229369 Alert #: 3 Alert ID: 1559801.11522860.26791053 Entity Information Entity ID: 26791053 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.cornhvss/entity.html?entityld=712ec7c8d33eaffa5d3f3d53eb346cc4 Source Name: SEC Administrative Proceedings - 2005, 08/08/2009 Source URL: http:/Mww.sec.gov/litigation/adminfadminarchive/adminarc2005.shtml Entity URL: • http://www.sec.govflitigation/admin/34-51207.htm • http://www.sec.govnitigation/admin/34-51349.htm Conatent oith the terms and modems of year RDC Subscriber Agreement the informaban contanedothrs elecument is for alert purposes only and a not to be used fee purposes ol deteriorate an ecloduals elogoterty 101 any aedt or any ether FCRA pernoseble purposes User lather agrees to hold such natural and inkimsbon in settee, confidence not to make use thereof tenet than 101 0.40100200 00100.0 0 to reins t only to 01,040)000 030/0010, as= trdarnahm and not to release or disclose a to any other party The Alert mimosa.= contained m the document rray or rray not pertam ti the salmi:Kai a entity referenced o your Mary. Page 3 of 10 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0049515 CONFIDENTIAL SDNY_GM_00195699 EFTA01360885