EFTA01362585

rdc DB12000P - Deutsche Bank Private Bank Batch Date: 2/22/2018 Added to Monitoring: 02/22/2018 Alert Date: Alert 2/22/2018 Organization: Southern Financial LLC Address: Country :VIRGIN ISLANDS, U.S. Tracking ID: GCIS 00000483882 Reporting ID: Alerted Entity #: 3 of 3 Risk Priority: Critical Alert ID: 12737031.1162271583653448 Entity Information Entity ID Riskid Entity Name: Southern Financial Group Inc. Address: Summerville Recent Event(s): • SEC - SEC Violations (Insider Trading. Securities Fraud) / ACC - Accuse, 12/152008 accused of running a so-called Ponzi scheme by sobciting cash from new investors to pay off redemptions to earlier investors, 12/15/2008, The Post and Courier (Charleston, SC) Event: • SEC - SEC Violations (Insider Trading. Securities Fraud) / ACC - Accuse, 12/15/2008 accused of running a so-called Ponzi scheme by soiciting cash from new investors to pay off redemptions to earlier investors, 12/15/2008, The Post and Courier (Charleston, SC) Alert Notes Notes: Southern Financial Group Inc.. was accused of running a so-called Ponzi scheme by soliciting cash from new investors to pay off redemptions to earlier investors. Source Information RDC URL: https //grid.rdc.corn/wssientity.html9entityld=cd06df1e138aac735d3f3d53eb346cc4 Source Name: RiskComect, 02/22/2018 Sources: The Post and Courier (MCT), MEDIA Article,Headline:The Post and Courier, Charleston, S.C., On Business column, http://plobal.factiva.com/enldu/article.asp?NAPC=SBAccessionNo=KRTCN00020081216e4cf00001 Consistent .,t the terms and condiban of your RDC Subscriber Agreement the nformaton =reamed in the document e be aloe purposes only and s not to be used fa purposes of deterrnearg an exenduals **bay to any credit a any other FORA perrrasibis purposes User further agrees to heel such material and onformationnstnclestccofidence, not to make use thereof other then fa re/tented purposes. to relate 9 onfy to ermoyees rogueing such informeon and not to release at disclose t to any other party The Alert informal:co contaned in this document fray or may not pertain ti tle induclual or entity referenced in your enemy. One 5 5 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0052070 CONFIDENTIAL SDNY_GM_00198254 EFTA01362585