EFTA01356201.pdf

rdc Organization: Southern Financial LLC DB12000P - Deutsche Bank Private Bank Batch Date: 2/22/2018 Added to Monitoring: 02/22/2018 Alert Date: Alert 2/22/2018 Address: ck,i.wfi), VIRGIN ISLANDS. U.S. Tracking ID: GCIS 00000483882 Reporting ID: Alerted Entity #: 2 of 3 Risk Priority: Critical Alert ID: 12737031.11622715.64747171 Entity Information Entity ID: 64747171 Riskid: R22436125 Entity Name: Southern Financial Services Alias: Southern Financial Services Inc. Address: Asheville. North Carolina, UNITED STATES Recent Event(s): • FRD - Fraud, Scams. Swindles / ASC - Associated with, Seen with, 02/04/2011 U.S. Attorney Anne M. Tompkins announced that, James W. "Bill" Bailey, Jr. had his initial appearance on three federal criminal counts. Securities Fraud. Mail Fraud and Filing False Tax Returns Charges, which was filed in a Bil of Information in U.S. District Court in Asheville on February 1, 2010. The counts against Bailey charge that he engaged in a "Ponzi" scheme from about January 2000 to December 2010 to defraud investors of more than $13 million. According to the Bill of Information, the defendant founded and operated Southern Financial Services Inc. 1031 Exchange Services, LLC and AVL Properties, LLC in Asheville. Court documents state that through Southern Financial Services Inc.. Bailey fraudulently induced clients to deposit monies and purported to provide asset management IRA accounts, and wills and trusts services.. 02/04/2011, DOJ US Attorneys Offices Press Releases 2009 to 2012 • SEC - SEC Violations (Insider Trading, Securities Fraud) / ASC - Associated with. Seen with, 02/04/2011 U.S. Attorney Anne M. Tompkins announced that. James W. "Bill" Bailey, Jr. had his initial appearance on three federal criminal counts. Securities Fraud. Mail Fraud and Filing False Tax Returns Charges, which was filed in a Bil of Information in U.S. District Court in Asheville on February 1. 2010. The counts against Bailey charge that he engaged in a "Pont" scheme from about January 2000 to December 2010 to defraud investors of more than $13 million. According to the Bill of Information, the defendant founded and operated Southern Financial Services Inc. 1031 Exchange Services, LLC and AVL Properties, LLC in Asheville. Court documents state that through Southern Financial Services Inc.. Bailey fraudulently induced clients to deposit monies and purported to provide asset management IRA accounts, and wills and trusts services., 02/042011, DOJ US Attorneys Offices Press Releases 2009 to 2012 • TAX - Tax Related Offenses / ASC - Associated with, Seen with, 02/04/2011 U.S. Attorney Anne M. Tompkins announced that James W. "Bill" Bailey. Jr. had his initial appearance on three federal criminal counts, Securities Fraud, Mail Fraud and Filing False Tax Returns Charges, which was filed in a Bil of Information in U.S. District Court in Asheville on February 1. 2010. The counts against Bailey charge that he engaged in a "Ponzi" scheme from about January 2000 to December 2010 to defraud investors of more than $13 million. According to the Bill of Information, the defendant founded and operated Southern Financial Services Inc, 1031 Exchange Services, LLC and AVL Properties. LLC in Asheville. Court documents state that through Southern Financial Services Inc., Bailey fraudulently induced clients to deposit monies and purported to provide asset management IRA accounts, and wills and trusts services., 02/04/2011, DOJ US Attorneys Offices Press Releases 2009 to 2012 Event: • FRD - Fraud, Scams, Swindles / ASC - Associated with, Seen with, 02/04/2011 U.S. Attorney Anne M. Tompkins announced that James W. "Bill" Bailey, Jr. had his initial appearance on three federal criminal counts, Securities Fraud, Mail Fraud and Filing False Tax Returns Charges, which was filed in a Bil of Information in U.S. District Court in Asheville on February 1, 2010. The counts against Bailey charge that he engaged in a "Ponzi" scheme from about January 2000 to December 2010 to defraud investors of more than $13 million. According to the Bill of Information, the defendant founded and Consistent bet the termsand ccodtbons cd your RCC Subscriber Agreement the edam:eon corbeled in the documental's( ben purposes only ands not to be used la purposes of deterrnuarg an indenduars O'Day for any credit or any other FORA parrasible purposes User baker agrees to hold such rraleral and information ri strictest °earldom/errata crake use bawl other eon for authorized purposes. to rebte rt onty to employees rogueing SIX11 darnel= and not to release or disclose t to any other party The Alert infolmabco contatied in this docunent rray of may net Foram bele inchoate' a entity referenced in 'OW maim. page 3 el S CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0041904 CONFIDENTIAL SDNY_GM_00188088 EFTA01356201