EFTA Document EFTA01356000

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: ck,i.wiry VIRGIN ISLANDS. U.S. Tracking ID: GCIS 00000483882 Reporting ID: Alerted Entity #: 3 of 3 Risk Priority: Critical Alert ID: 12737031.11622715.63653446 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 sokciting 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 sokciting 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 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=cd06dfle138aac73543f3d53eb346cc4 Source Name: RiskConnect, 02/22/2018 Sources: The Post and Courier (MCT), MEDIA Article,Headline:The Post and Courier. Charleston, S.C.. On Business column, http://global.fachva.corrien/du/article.asp7NAPC=S8AccessionNo=KRTCN00020081216e4cf00001 Consistent %Oh the tears and ccerdebons al your RDC Subscriber Agreement the edam:eon corbeled in the documental's( alert purposes only ands not to be used fa purposes of deterrnuarg an indenduats O'Day for any credit or any other FORA penrasible purposes User baker agrees to hold such rralsral and information n strictest confidence, not to crake use thereof other than for euthenist' purposes. to retie rt only to employees rogueing ouch planation and not to release or disclose t to any other party The Alert intern/ace conned in this document may of may net pease ti tle indrodual a entity referenced in 'OW Pam. Ones of S CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0041372 CONFIDENTIAL SDNY_GM_00187556 EFTA01356000