EFTA01368243.pdf

rdc Organization: Southern Financial DB27000P - Deutsche Bank - CAR Integration Batch Date: 3/15/2018 Added to Monitoring: 03/15/2018 Alert Date: Alert 3/1612018 Address: Tracking ID: Reporting ID: Alerted Entity #: 1 of 3 Risk Priority: Critical Alert ID: 12934335.309213.65374193 on their assertion of Dunlap's personal Fifth Amendment privilege against self-incrimination., 04/26/2001, SEC Litigation Releases - 2001 • SEC - SEC Violations (Insider Trading, Securities Fraud) / ACT - Disciplinary. Regulatory Action, 08/10/2000 The SEC fled a fraud case in the United States District Court for the Middle District of North Carolina against Elfindepan, S.A., Southern Financial Group. Tracy Calvin Dunlap, Jr. and Barry Lowe. The SEC complaint alleges that, the defendants defrauded investors nationwide in an apparent Ponzi or pyramid scheme in connection with the unregistered offer and sale of the securities of Elfindepan, alleges that in connection with these offerings, defendants knowingly and recklessly made, and caused others to make. numerous materially false and misleading statements to investors. defendants promised investors highly favorable returns on investments, without any reasonable basis for such claims. and falsely stated that the investments were secure, including false claims that Elfindepan investments were associated with the International Monetary Fund and the Wodd Bank and also aleges that defendants knowingly or recklessly failed to disclose certain material facts to investors regarding Elfindepan., 08/10/2000, SEC Litigation Releases - 2000 Alert Notes Notes: Southern Financial Group, aka SFG. was charged with securities fraud. Source Information RDC URL: https://grkirdc.corniwsstentity.html?entityld=3dcbf500405acc025d3f3d53eb346cc4 Source Name: RiskConnect, 03/15/2018 Entity URL:. http://www.sec.govilitigationilitreleasesIlr17723.htm • http://wimitsec.govilitigation/litreleases/2008/Ir20543.htm • http://www.sec.govilitigationilitreleases/Ir16977.htm • http://www.sec.govilitigationilitreleases/k16649.htm • httplAvww.sec.govnitigationilitreleasesilr16892.htm Sources: • SEC Litigation Releases - 2002, SEC Litigation Releases - 2002, httplAvww.sec.goWlitigationilitreleasesilitrelarthiveilitarchive2002.shtml SEC Litigation Releases - 2008, SEC Litigation Releases - 2008, http://www.sec.goWlitigationilitreleasesilitrelarchive/litarchive2008.shtml SEC Litigation Releases - 2001, SEC Litigation Releases - 2001, http://www.sec.goWlitigation/litreleasesilitrelarchive/litarchive2001.shtml SEC Litigation Releases - 2000, SEC Litigation Releases - 2000, http://www.sec.goWlitigationilitreleasestlitrelarchive/litarchive2000.shtml Consistent vulth the toms and conditions of your RDC Subscriber Agreement the ratorrnaticn conlasned in this document is for Sat pumoses any and is not to be used for purposes of determining an indrvidads McVay for any credit a any Other FORA permissible purposes. User father sprees to hold such material end informal:On in strictest oanederce, col lo irate use thereof otter then for authorized purposes. to rebate la* 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 2 ci CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0059911 CONFIDENTIAL SDNY_GM_00206095 EFTA01368243