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DB12000P - Deutsche Bank Private Bank Alert
Batch Date: 0529/2013 Alert Date: 05/29/2013
Organization: Southern Financial Lit
Address: Country:U nited States
Tracking ID: 6229369 Reporting ID: 6229369
Alert #. 1 Alert ID: 1559801.11522860.46402345
Entity Information
Entity ID: 46402345
Entity Name: Southern Financial Services, Inc.
Address: Boca Raton. Florida, UNITED STATES
Event: SEC - SEC Violations (Insider Trading, Securities Fraud)
ACT - Disciplinary. Regulatory Action
08/13/2003, The SEC filed civil charges in federal district court in Miami. Florida against the former president
of Dicom Imaging Systems, Inc. and five Florida stock promoters including Southern Financial Services.
alleging that they used the Internet, press releases, spam e-mails, and televised interviews to commit
securities fraud through baseless financial projections and the stock promoters' "scalping." The complaint
also alleges that the promoters touted Dicom's stock but did not disclose all of the compensation they were
to receive pursuant to signed agreements: alleges that Gane had Dicom hire the stock promoters in June
and November 1999 to tout Dicom's stock in return for compensation; Gene supplied the_promoters with
Dicom's financial projections for the next three years: $24.7 million in revenues and $19.7 million in earnings;
two of the promoters. Welsh and Tamburello. each wrote investment opinions that described Dicom as an
investment.
Source Information
RDC URL: https://orid.rdc.com/wss/entity.html?entityld=9af0405228d562185d3f3d53eb3413cc4
Source Name: SEC Litigation Releases - 2003, 11/14/2012
Source URL: httpliWww.sec.govilitigation/litreleases/litrelarchivefikarthlve2003.shtml
Entity URL: • httplAmAny sec.gov/itigation.itreleases.r18286.htm
• tgtp:/Avwxv sec gov/litigation/complaints/comp18286.hbn
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,ndu dyad sloblity lot arty code a anyother FCRA pennesside pewees User runner a9'een had such matenal and dearraton in dieted tvenence not to meet use thereof other than tot mettorized
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a entity rekqemed in your needy SDNY_GM_00064530 Pn e IC
IDENTIAL
R.cONF
CONFIDENTIAL - PURSUANT TO FED. DB-SDNY-0027355
EFTA_00175033
EFTA01299047

rdc
DB12000P - Deutsche Bank Private Bank Alert
Batch Date: 05/29/2013 Alert Date: 05/29/2013
Organization: Southern Financial LLC
Address: C!iuntiy United States
Tracking ID: 6229369 Reporting ID: 6229369
Alert #: 2 Alert ID: 1559801.11522860.41603821
Entity Information
Entity ID: 41603821
Entity Name: Southern Financial Group
Address: North Carolina, UNITED STATES
Event: SEC - SEC Violations (Insider Trading, Securities Fraud)
ACT - Disciplinary. Regulatory Action
09/12/2002. The Court in this case adjudged defendants Etfindepan, Southern Financial Group, and Tracy
Calvin Dunlap, Jr., to be in contempt of court and ordered Dunlap incarcerated based on their refusal to obey
court orders requiring them to produce documents and account for and repatriate investor funds.
Source Information
RDC URL: https://gnd.rdc.conVwss/entity.html?entityld=f0a4cd957f6297875d3f3d53eb346cc4
Source Name: SEC Litigation Releases - 2002, 05/12/2012
Source URL: http://mmw sec.govAitigation/litreleases/litrelarchive/litarchive2002.shtml
Entity URL: http://www sec.govAitigation/litreleasesAr17723.htrn
Uneaten, we, the teens and cond.:en of your ROC Subscriber Apreerneet the inherroton contaned m this document's lug atert purposesonly ar4 rs not tote used lo' purposesof detternntro an
ondsquagelgiblity Ice any credit a anyother FCRA permaside german user hotel agrees to hold such reatenal and en:greaten in strictest cc:Odense not to rasa use thereof other Than ro, rtattenzed
purposes, to relate C only to employees requiring such informaten and rot to release Of dabs* R to any caw patty Try ale intomiahon oontaned n tins document may a Tay not gene n TO MO indniaai
a entity releceircea in yea cowry SDNY_GM_00064531 Pepe 2 cf 10
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.QPN(E DB-SDNY-0027356
EFTA_00I75034
EFTA01299048

rdc
DB12000P - Deutsche Bank Private Bank Alert
Batch Date: 05/29/2013 Alert Date: 05/29/2013
Organization: Southern Financial LLC
Address: C5iWnly 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 8226,931.80 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: Mtps://grid.rdc.corn/wss/entity.htmrentityld=712ec7c8d33eaffa5d313d53eb346cc4
Source Name: SEC Administrative Proceedings - 2005, 08/08/2009
Source URL: http:/hwwv.sec.govditigation/admin/adminarchrve/adminarc2005.shtml
Entity URL: • http/N.ww.sec goWlitigation/admin/34-51207.htm
• http:/Nwvw.sec.g ovditigation/a dmin/34-51349. htm
Ccosertent we, the tams and cent:toot'sal yew ROC Subsaber Agreemet the infarrobon centered in this document is la atert purposes only and is not lobe used fix pmeaaes of delenrintro an
ineadduatseloblity lot any [seat a anyother FCRA peonesside aurae**. User hardier wen to hold such material and efOirnatOn in strictest confidence. not to trOOO use thereof Other Than fa aathonzed
purposes to relate t only to enyaloyees requiting such informatal and not to Weide or dsd d to any other party ',neaten infOnnaTCOCOntanod nth* document may a may na porta n to no incOoadal
a entity referee-ad in your inquiry SDNY_GM_00064532 P.2` 3° 10
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.QQN(E DB-SDNY-0027357
EFTA_B0I75035
EFTA01299049

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DB12000P - Deutsche Bank Private Bank Alert
Batch Date: 05/29/2013 Alert Date: 05/29/2013
Organization: Southern Financial LLD
Address: Gauntly United States
Tracking ID: 6229369 Reporting ID: 6229369
Alert #: 4 Alert ID: 1559801.11522860.25661518
Entity Information
Entity ID: 25661518
Entity Name: Southern Financial Group, Inc.
Address: South Carolina, UNITED STATES
Event: SEC - SEC Violations (Insider Trading, Securities Fraud)
ACT - Disciplinary. Regulatory Action
12/22/2004, The Securities and Exchange Commission announced that the Honorable David C. Norton.
United States District Judge for the Distnct of South Carolina, Charleston Division, entered Final Judgments
as to Defendants Southern Financial Group, Inc. (Southern), Richard M. Wooten (Wooten) and Charles
Dennis McKittrick (McKittrick).
Source Information
RDC URL: https://prid.rdc.comNiss/entilv.htmlernntityld=67b955a58510d8e7543f3d53eb346ccA
Source Name: SEC Litigation Releases - 2003, 11/14/2012
Source URL: httplAwomsec.govnitigationAitreleases/litrelarchive/litarchive2003.shtml
Entity URL: http://rw/w.secAovAitigation/litreleases/Ir19009.htm
Consistent urrei the terms and cone tons of year ROC Suteabet Apreernnt the irk:emote, ecotone,' n this document is In *eft purposes only and is not tote used tor purposesof determining an
tncl. tikoto *twenty lot any credit 0' any othei FCRA peon:aside purposes Use, tuMar atrees To roll such matenal and reteoraton in £Motes tenfideons. rot to make usa thereof onset than tor orthonzed
purposes to relate t only to erroiares requiting such inforrraton. and rot to reMato or OKMet: any caw pally Toe Mon solonnatm contained n mw tatournant may or may not martin to the ,nepodual
or entity referents:I in your impart SDNY_GM_00064533 P.2e 4 Ci 1°
ID ENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.QPN(E DB-SDNY-0027358
EFTA_00I 75036
EFTA01299050

rdc
DB12000P - Deutsche Bank Private Bank Alert
Batch Date: 05/29/2013 Alert Date: 05/29/2013
Organization: Southern Financial LLC
Address: Cr:ur:tEy United States
Tracking ID: 6229369 Reporting ID: 6229369
Alert #: 5 Alert ID: 1559801.11522860.25646082
Entity Information
Entity ID: 25646082
Entity Name: Southern Financial Group
Address: North Carolina, UNITED STATES
Event: • SEC - SEC Violations (Insider Trading. Securities Fraud)
ACT - Disciplinary, Regulatory Action
04/26/2001, LITIGATION RELEASE NO. 16977/ SEC V. SOUTHERN FINANCIAL GROUP 1:00CV00742
(August 10, 2000) COURT OF APPEALS AFFIRMS TRIAL COURT'S ORDER INCARCERATING
DUNLAP FOR CONTEMPT. On March 15, 2001, the U.S. District Court for the Middle District of North
Carolina adjudged defendants Elfindepan. S.A., Southern Financial Group and Tracy Calvin Dunlap, Jr. to
be in civil contempt of court based on their refusal to obey court orders requiring them to produce
documents, and account for and repatriate investor funds, related to their allegedly fraudulent investment
schemes.
• SEC - SEC Violations (Insider Trading. Securities Fraud)
ACT - Disciplinary, Regulatory Action
02/08/2001, LITIGATION RELEASE NO. 16892 / SEC V. SOUTHERN FINANCIAL GROUP. (USDC
Middle District of North Carolina, 1:00CV00742) amended complaint alleges that Southern Financial Group
misappropriated millions of dollars from innocent investors through a fraudulent investment scheme
commonly referred to as a "Prime Bank" scheme.
Source Information
RDC URL: https://grid.rdc.comAvss/entily.html?enbtyld=acd62503a7de83615d3f3d53eb346cc4
Source Name: SEC Litigation Releases - 2001, 03/02/2010
Source URL: httplIvAvw.sec.govAitigation/litreleases/litrelarchivertitarchive2001.shtml
Entity URL: • http://www.sec.govrtitigationrtitreleasesAr16977.htm
• httpJ/www.sec,govfitigationfitreleases/Ir16892.htm
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inehrrasatSelgtatty lM any Credd Or any °dm( FCRA penneMble OWNS. User Nasal agree. IC held such fneteral and non-Aston in Want cadidence. not to make use thereof whet Man To, eathonzeo
surpass. to Mato [only to ergabytnts (nutting such intontooch, and rot to release or decbaeR to any other pony TM AIM information contaned fl Mrs document tray a may MA Wan to the indrockoi
a entity referenced in your .bury SDNY_GM_00064534 rine $ el 10
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.ctQN(F DB-SDNY-0027359
EFTA_00I 75037
EFTA01299051

rdc
DB12000P - Deutsche Bank Private Bank Alert
Batch Date: 05/29/2013 Alert Date: 05/29/2013
Organization: Southern Financial LLC
Address: Criurn Ey United States
Tracking ID: 6229369 Reporting ID: 6229369
Alert #: 6 Alert ID: 1559801.11522860.25181614
Entity Information
Entity ID: 25181614
Entity Name: Southern Financial Group, Inc.
Address: South Carolina, UNITED STATES
Event: . SEC - SEC Violations (Insider Trading. Securities Fraud)
ACT - Disciplinary, Regulatory Action
06/17/2002, Securities and Exchange Commission v. Southern Financial Group, Inc., Richard M. Wooten,
Charles Dennis McKittrick and Gerald F. Hunter. Jr., Defendants, and Springdale Investments, Inc., Relief
Defendant. United States District Court for the District of South Carolina, Charleston Division, Civil Action
File No. 2:02-1806-18
• SEC - SEC Violations (Insider Trading. Securities Fraud)
ACT - Disciplinary, Regulatory Action
06/19/2002. Securities and Exchange Commission v. Southern Financial Group. Inc.. Richard M. Wooten,
Charles Dennis McKittrick and Gerald F. Hunter. Jr., Defendants. and Springdale Investments. Inc.. Relief
Defendant, United States District Court for the District of South Carolina, Charleston Division. Civil Action
File No. 2:02.1806.18
• SEC - SEC Violations (Insider Trading, Securities Fraud)
ACT - Disciplinary, Regulatory Action
05/28/2002, SECURITIES AND EXCHANGE COMMISSION V. SOUTHERN FINANCIAL GROUP, INC.,
RICHARD M. WOOTEN, CHARLES DENNIS MCKITTRICK AND GERALD F. HUNTER. JR., United States
District Court for the District of South Carolina, Charleston Division, Civil Action File No. 2:02-1806-18
(Filed May 24, 2002)
Source Information
RDC URL: httWgrid.rdc.com/v/ss/entity.html?entityldra7a395d6a12368e75d3f3d53eb346cc4
Source Name: SEC Litigation Releases - 2002, 05/12/2012
Source URL: http:Avww.sec.govflitigation/litreleases/litrelarchive/litarchive2002.shtml
Entity URL: • http://www.sec.govntigationAitreleasesAr17574.htm
• http:/Nmw.sec.gov/litigationaitreleases/Ir17569.htm
• httplArevortsecgovnitigationAitreleases/Ir17535.htm
Canister., we, the terms and dentitionsof your ROC Subsaba Agreemert the irlarrobon contaned n this document is Ice Yet purposes only ar4 is not lobe used lo' outpostsof Oeterrintng an
oneadduatSelgtaty lot any [sea( or any other FORA pinhead. purges. User further agrees to hold such matenal and etarreton in cane caebeebe not to make use thereof oiler Than TO, PathOnZe0
purposes, to relate t only to areal:en rowing; such intormatco and rot to release or dectse a 10 any Mot party 1reAtal,ntamaton 0001000d in this document may a may not peter to me ind,oduai
a entay relfterced pri your inquiry SDNY_GM_00064535 P°2` S a10
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.QPN(F DB-SDNY-0027360
EFTA_00175038
EFTA01299052

-I' DB12000P - Deutsche Bank Private Bank Alert
Batch Date: 05/29/2013 Alert Date: 05/29/2013
Organization: Southern Financial LLC
Address: Country:United States
Tracking ID: 6229369 Reporting ID: 6229369
Alert #: 7 Alert ID: 1559801.11522860.24893031
Entity Information
Entity ID: 24893031
Entity Name: Southern Financial Group
Alias: SFG
Event: SEC -SEC Violations (Insider Trading, Securities Fraud)
ACT - Disciplinary. Regulatory Action
04/29/2008, Litigation Release No. 20543/ Securities and Exchange Commission v. Elfindepan, S.A., et al.,
United States District Court for the Middle District of North Carolina. Civil Action No. 1:000V00742 Final
Judgments Entered Against Elfindepan SA, Strategic Asset Funds S.A., and Southern Financial Group for
Fraudulent High-Yield Investment Scam.
Source Information
RDC URL: https://prid.rdc.comNiss/entity.html7entityld=28d4c04c98a34f5f5d3f3d53eb346cc4
Source Name: SEC Litigation Releases - 2008, 11/11/2009
Source URL: hrtp:/Miww.sec.govnifigationrtitreleases/litrelarchivertitarchive2008.shtml
Entity URL: http://www.sepApyrtitigation/litreleases/2008/I/20543.htm
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,nclidbuaK elgtatty la any mat or any other FCRA peon:sub* purposes User further awees to hob such matenal and norrraton in eh clew tit:replace. rot to make use thereof ohm than tor Wisalze0
purposes to relate t only to remptayeitsrequinng sucA intorrraten. and n0t tO Weida Or dare IC6O t t any Wet party T re Merl intormanon con:Annan:no occurrent tray or may not wan to the inchodual
a entity retererwedn your eaturry SDNY_GI14/4_00064536 rIse 7 el 10
IDENTIA L
CONFIDENTIAL - PURSUANT TO FED. R.ctON(E DB-SDNY-0027361
EF1'A_00175039
EFTA01299053

rdc
DB12000P - Deutsche Bank Private Bank Alert
Batch Date: 05/29/2013 Alert Date: 05/29/2013
Organization: Southern Financial LLC
Address: Country:United States
Tracking ID: 6229369 Reporting ID: 6229369
Alert #: 8 Alert ID: 1559801.11522860.26357581
Entity Information
Entity ID: 26357581
Entity Name: Southern Financial Group, Inc.
Address: Charleston, SC, UNITED STATES
Event: FRD - Fraud, Scams, Swindles
ALL - Allege
12/22/2004, alleged that Southern raised at least $25 million through a fraudulent scheme involving the sale
of short-term notes on behalf of UC Properties LLC.
Source Information
RDC URL: https://cid.rdc.com/vms/entiN.html?entityld=c5d5dba1600b3145d3f3d53eb346cc4
Source Name: SEC Litigation Releases - 2004, 05/122012
Source URL: httplAw.w.sec.govilitigationAitreleases/litrelarchive/litarchive2004.shtml
Entity URL: httplAvww.sec.eovAitigation/litreleases/Ir19009.htm
Cormstent MT the tem., and conciecers al your ROC Sub:mixt Agreernnt the utenntion oontared m this document rs In *ef t purposes only and is not lobe used rot purposes of Oeteernmng an
,ncisbyeK sloOlity let any avIlt or any other FORA pernussible purees.. User further ag•ee' zo hob such mateoal and eforrroton in slit:est otruHenot. not to Make use thereof other then tor outhortzeO
purposet to relate t only to ernpitayses requiting such intorrrown. MY nal to Wean. Of ddctso 11 any CrOwX party Tr* Mal reitorrnahon COrtinial n This accurnent rnay Cr may not pigtail 10 011ielitiVittuat
a entity rekqemed es your equiry SDNY_GM_00064537 Par 8d18
IDENTIAL
R.cONF
CONFIDENTIAL - PURSUANT TO FED. DB-SDNY-0027362
EFTA_00175040
EFTA01299054

rdc
DB12000P - Deutsche Bank Private Bank Alert
Batch Date: 05/29/2013 Alert Date: 05/29/2013
Organization: Southern Financial LLC
Address: ;mint Ey United States
Tracking ID: 6229369 Reporting ID: 6229369
Alert #: 9 Alert ID: 1559801.11522860.36364841
Entity Information
Entity ID: 36364841
Entity Name: Southern Financial Services Inc.
Address: Asheville. NC, UNITED STATES
Event: . FRO - 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 Retums
Charges, which was filed in a Bill 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 513 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.
• 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 Retums
Charges, which was filed in a Bill 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 Southem Financial Services Inc.. Bailey fraudulently
induced clients to deposit monies and purported to provide asset management, IRA accounts, and wills
and trusts services.
• 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 Bill 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 513 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.
Source Information
RDC URL: https://gnd.rdc.cornAvss/entityhtml?entityld=4b538c2393dee2cf5d3f3d53eb346cc4
Source Name: DOJ US Attorneys Offices Press Releases 2009 to 2012, 05/07/2013
Source URL: http:/rWww.justice.gov/usao/offices/index html
Entity URL: http:Mhww.justice.gov/usao/ncw/press/billbailey. html
Ccosetent wet the terms and conciliar' ol yap ROC Subset bet Agreemet the irlarrobon contaned m this document is la Wert purposes only ar4 .5 not tote used lo' purposesol determntro an
indodualSeiCnOlity lot any dada Or anyother FCRA pennessible pewees User Maser agrees to hold such metenal and eformaton in strictest confidence not to mt. use ThaeOt Other Than fa aatnonzed
purpose* to relaunch* to errylayees requiring such intonyeaco, and rot to release or dachas* 4 to any other parry Tres AIm intOrniatras contaned o ms decimal( may ce may nee portant, no indrodual
a entity releterced in your exterry SDNY_GM_00064538 Pepe ay 10
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.QQN(E DB-SDNY-0027363
EFTA_00 I 75041
EFTA01299055