EFTA01255804.pdf

rdc Entity: Southern Financial Group, Inc. 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 Southem's books and financial records inaccurately reflected a cash balance in an account ranging from 5226.931.80 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.corn/wss/entity.html7entityld=712ec7c8d33eaffa5d3f3d53eb346cc4 Source Name: SEC Administrative Proceedings - 2005, 07/17/2009 Source URL: http://www.sec.govilitigation/admirtfadminarchive/adminarc2005.shtml Entity URL: • httpliWww.sec.gov/litigation/admin/34-51207.htm • http://www.sec.gov/IBigation/admin/34.51349.htm Ccgryl** 2013 Regolepry OsesCorp. Inc All Ryiss Reserved Manner* rented co 06/29,2013 120611 SDNY_GM_00064541 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0027366 EFTA_00175044 EFTA01255804