EFTA Document EFTA01298149

rdc DB12000P - Deutsche Bank Private Bank Batch Date: 8/20/2018 Added to Monitoring: 08/20/2018 Alert Alert Date: 8/20/2018 Organization: Southern Financial LLC Address: :51Uhtly VIRGIN ISLANDS. U.S. Tracking ID: KYC 01977703 Reporting ID: Alerted Entity tr- 1 of 2 Entity Information Risk Priority: Critical Alert ID: Entity ID: Riskid: Entity Name: Alias: Address: Recent Event(s): Event: R22436125 Southern Financial Services Southern Financial Services Inc. Asheville. North Carolina. UNITED STATES • FRD - Fraud, Scams. Swindles I ASC - Associated with, Seen with, 02/04/2011 U.S. Attorney Anne M. Tompkins announced that. James W. "Bin" Bailey, Jr. had his initial appearance on three federal crintinal 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 $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. "sr 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 $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., 02/04(2011, 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. "Br 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 $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., 02104/2011, DOJ US Attorneys Offices Press Releases 2009 to 2012 • FRD - Fraud. Scams, Swindles! ASC - Associated with, Seen with, 02/04/2011 U.S. Attorney Anne M. Tompkins announced that, James W. "Bilr 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 $13 million. According to the Bill of Information, the defendant founded and Consistent was the terms and con:Steen of yo.ii ROC Sutaaber Apreernot. the infarrotion tont:ono, ler this determent is fix alert purposes only and is not tote used to, outpostsof celermntra an oncadquars &awhile/ tot any anal 01 arty other FCRA pemsssINts paroles Use' tunner agrees to hail such material and infonhatico n 4,rcMV confidence not to make use treet otne' than 'ot aumerahl purposes, to tOlatO tONy to OftclOy00$ requiring SOO OSOZSTIOtell Yet fa ID release Of &whose rt SO any other pony Tre Alen information oontaned el It% rICOttrOtrt May a may not porton to the irldrottrail a entity referenced n your inquiry SDNY_GM_00062208 Ripe I °I) CONFIDENTIAL - PURSUANT TO FED. R.QPN(E IDENTIAL DB-SONY-0025033 EFTA_00172718 EFTA01298149 rdc DB12000P - Deutsche Bank Private Bank Batch Date: 8/20/2018 Added to Monitoring: 08/20/2018 Alert Date: Alert 8/2012018 Organization: Southern Financial LLC Address: Country.VIRGIN ISLANDS, U.S. Tracking ID: KYC 01977703 Reporting ID: Alerted Entity ft. 1 of 2 Risk Priority: Critical Alert ID: Alert Notes 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, Secunties Fraud)/ ASC - Associated with, Seen with, 02/04/2011 U.S. Attorney Anne M. Tompkins announced that, James W. "BiW 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 "Pone 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 • TAX - Tax Related Offenses / ASC - Associated with. Seen with, 02/04/2011 U.S. Attorney Anne M. Tompkins announced that, James W. 'sr 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 $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 Notes: Southem Financial Services. aka Southern Financial Services Inc., was associated with fraud. Source Information RDC URL: https://orid.rdc.conWiss/entity.html7entityld=c9fe552c3e68e6325d3f3d53eb346cc4 Source Name: RiskConnect, 08/20/2018 Entity URL: http://www.justice.00v/usao/ncw/pressibillbailey.html Sources: DOJ US Attomeys Offices Press Releases 2009 to 2012, DOJ US Attorneys Offices Press Releases 2009 to 2012, http;//www.justice gov/usao/offices/index.html Consistent will the teem and cantata* al your ROC Subsate. Apreernat the rdarrobon contaned wt this document is lc, alert purposes only and is not tote used to manes of delearontng an indiSKILoarli ellalbelyta any aeat et any Ohm FCRApannisabia ptexaes Use, runner areas* hold SOCI1 MAW'S, and intonranon.n moats( conridence net to make use thereof otna than for IliAllatied Pflanak to Waal toNy to arnbaYasurtelorag war rasonTotay and rndto anaand "dna I t any over Party Tne Merl intortnano, <octane(' r‘ Mrs doannt erOyee may nce pertan so the mdractual a entity referenced gn your ACIllify. SDNY_GI1/44_00062209 rise 2 CI 3 CONFIDENTIAL - PURSUANT TO FED. R.QQN(E IDENTIAL DB-SDNY-0025034 EFTA_00172719 EFTA01298150 rdc DB12000P - Deutsche Bank Private Bank Batch Date: 8/20/2018 Added to Monitoring: 08/20/2018 Alert Date: Alert 8/20/2018 Organization: Address: Tracking ID: Southern Financial LLC Cmuiiiiy VIRGIN ISLANDS. U.S. KYC 01977703 Reporting ID: Alerted Entity Et 2 of 2 Risk Priority: Critical Alert ID: 15385628.11638483.63653446 Entity Information Entity ID: Riskid: Entity Name: Address: Recent Event(s): Event: Alert Notes 63653446 R22433111 Southern Financial Group Inc. Summerville • SEC - SEC Violations (Insider Trading, Securities Fraud) / ACC - Accuse, accused of running a so-called Ponzi scheme by soliciting cash from new to earlier investors, 12/15/2008. The Post and Courier (Charleston SC) • SEC - SEC Violations (Insider Trading, Securities Fraud)! ACC - Accuse, accused of running a so-called Ponzi scheme by soliciting cash from new to earlier investors, 12/15/2008, The Post and Courier (Charleston. SC) 12/15/2008 investors to pay off redemptions 12/15/2008 investors to pay off redemptions Notes: Southern Financial Group Inc.. was accused of sunning 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/wss/entity.html?entityld=cd06df1e138aac735d3f3d53eb346cc4 Source Name: RiskConnect. 08/20/2018 Sources: The Post and Courier (MCT), MEDIA Article,Headline:The Post and Courier. Charleston, S.C.. On Business column, http://global.factiva.conVen/du/article.asp7NAPC=S&AccessionNo=KRTCN00020081216e4cf00001 Ccosetent wO the teem and cent:lean el yeti ROC Subset* Agreement the naccrrobon cent:mod in this *cement is fa alert purposes only and is na tote used to, patentsof cleteenntre an 'atwitter s eaproiRytot any cell or any ocher FCRA pemassble prosotes User further agrees to had sum moire, and intamanon n grata <condone/ net to mate use thereof an.' man M. atmageti purposes, to relate t only to employees requiring suds informaten and rot to togas° or esthete Ft to any other pany 1re Alta *gammon COrtin0CI s11114 diXigrent filly cc may na portant° toe indmagai a earn referenced in your tKpAry SDNY_GM_00062210 P.Pe 3 Ci 3 CONFIDENTIAL - PURSUANT TO FED. R.cON(F IDENTIAL DB-SDNY-0025035 EFTA_001 72720 EFTA01298151