EFTA Document EFTA01356142

rdc DB12000P - Deutsche Bank Private Bank Alert Batch Date: 2/22/2018 Alert Date: 2/22/2018 Added to Monitoring: 02/22/2018 Organization: Southern Financial LLC Address: ck,ui,:ry VIRGIN ISLANDS. U.S. Tracking ID: GCIS 00000483882 Reporting ID: Alerted Entity #: 2 of 3 Alert Notes Risk Priority: Critical Alert ID: 12737031.11622715.64747171 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. "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 Bil 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 • 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 Returns Charges, which was filed in a Bil 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 Southem 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: Southern Financial Services. aka Southern Financial Services Inc.. for fraudulently inducing clients to deposit monies and purported to provide asset management, IRA accounts, and wills and trusts services. Source Information RDC URL: https://grid.rdc.com/wss/entrty.html?entityld=c9fe552c3e68e6325d3f3d53eb346cc4 Source Name: RiskConnect, 02/22/2018 Entity URL: http./Mww.justice.gov/usao/ncw/press/billbailey.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 bet the terns and ccodtbons of your RDC Subscriber Agreement the edam:eon corbeled in the documental's( ben purposes only ands not to be used la purposes of deterrnuarg an indenduars toinlIty for any credit or any other FORA parrasible purposes User further agrees to hold such rester' and information ri strictest confidence, not to rises use bawl other eon for authorized purposes. to rebte testy to employees rogueing MCI informal= and not to release a disclose t to any other party The Alert intim/Mal conlaaed in this docunent eery of may net Foram toes inchoate' a entity referenced in 'OW maim. Page ASS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0041713 CONFIDENTIAL SDNY_GM_00187897 EFTA01356142