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sd-10-EFTA01360896Dept. of JusticeOther

EFTA Document EFTA01360896

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sd-10-EFTA01360896
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Summary

rdc DB12000P - Deutsche Bank Private Bank Alert Batch Date: 05/29/2013 Alert Date: 05/29/2013 Organization: Southern Financial LLC Address: Gauntly United States Tracking ID: 6229369 Reporting ID: 6229369 Alert ff: 9 Alert ID: 1559801.11522860.36364841 Entity Information Entity ID: IIRINFIPPim Entity Name: Southern Financial Services Inc. Address: Asheville, NC, UNITED STATES Event: • FRD - Fraud, Scams. Swindles ASC - Associated with, Seen with 02/04/2011, U.S. Attorney Ann

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rdc DB12000P - Deutsche Bank Private Bank Alert Batch Date: 05/29/2013 Alert Date: 05/29/2013 Organization: Southern Financial LLC Address: Gauntly United States Tracking ID: 6229369 Reporting ID: 6229369 Alert ff: 9 Alert ID: 1559801.11522860.36364841 Entity Information Entity ID: IIRINFIPPim Entity Name: Southern Financial Services Inc. Address: Asheville, NC, UNITED STATES Event: • FRD - Fraud, Scams. Swindles 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 Bill of Information in U.S. District Court in Asheville on February 1, 2010. The counts against Bailey charge that he engaged in a "Ponzr 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. 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 Bill of Information in U.S. District Court in Asheville on February 1. 2010. The counts against Bailey charge that he engaged in a "Ponzr' 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. 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 Bill of Information in U.S. District Court in Asheville on February 1, 2010. The counts against Bailey charge that he engaged in a "Ponzr 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. Source Information RDC URL: https //gnd rdc corNwssientity html?entityld=4b538c2393dee2cf5d3f3d53eb346cc4 Source Name: DOJ US Attorneys Offices Press Releases 2009 to 2012. 05/07/2013 Source URL: httpJMvoro.justice.gov/usao/offices/index. html Entity URL: httpl/www.justice gov/usao/ncw/press/billbailey html Conatent lath the terms and ccaddiens of your RDC Subscriber Agreement the informaban contained n this decument is for alert purposes only and a not to be used fee purposes ol determining an indreduals elogibItty 101 any aedt or any other FCRA peineseble purposes User lather agrees to hold such material and inkertabon m settee, confidence not to make use theme, Geer man 101 80.111101120d purposes b SW. t only 10 employees MCSIM1c SUCh InIcanaberk and not to release or disci:Getty any other party The Alert nkematien contained in the document rray or may not pertain ti the inelmelual a entity referenced et your roguery. Page 9.3110 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0049536 CONFIDENTIAL SDNY_GM_00195720 EFTA01360896

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Display Name Email UUID 6ICE9350-0B4F-0000-AB39-E8Of'2A59A443 Distribution 'I've TO Recipient Type SysternGroupMember Recipient Display Name Email IRA D 9D77B2D0-19C1-0000-A9894Y2C00000S8D0 Distribution Type TO Recipient Tvpc SystemGroupkkmber Recipient Display Name Email _ U LID 4237CDC0-1407-0000-AF20-8402120084D2 Distribution Type TO Recipient Type _Recipient Display Name a Email UUID 66E64C10-1320-0000-8ECI-2F2162868DCC Distribution Type TO Recipient Txpe SystemGroupMember Expire 0 Delay delivers until 0 Delegated fake Archived fake Read fake Deleted fake Opened fake Completed fake Security Normal Box type Inbox Return notification hen opened fake Return notification "hen deleted fake Return notification when completed fake Return notification %%hen declined fake Return notification "hen accepted false Archive S'en ion 5.3 Internal ID 5D4F0066.NYMDOMLNYMADMI.100.16B6F30.1.F EAE. [email protected] LNY MADM 1.103.0.1.0.141

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