EFTA Document EFTA01404403

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 Southern's books and financial records inaccurately reflected a cash balance in an account ranging from $226,931.80 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.com/wss/entity.html?- entityld=712ec7c8d33eaffa5d3f3d53eb346cc4 Source Name: SEC Administrative Proceedings - 2005, 07/17/2009 Source URL: http://www.sec.gov/litigation/admin/adminarchive/- adminarc2005.shtml Entity URL: http://www.sec.gov/litigation/admin/34-51207.htm- • http://www.sec.gov/litigation/admin/34-51349.htm Copyright 0 2013 Regulatory DataCorp, Inc. All Rights Reserved. Document generated on 05/29/2013 12:08:41 EFTA01404403