EFTA Document EFTA01360928

rdc Entity: Southern Financial Group Entity Information Entity IDS Entity Name: Southern Financial Group Address: North Carolina, UNITED STATES Event: • SEC - SEC Violations (Insider Trading. Securities Fraud) ACT - Disciplinary, Regulatory Action 04/26/2001, LITIGATION RELEASE NO. 16977/ SEC V. SOUTHERN FINANCIAL GROUP 1:00CV00742 (August 10, 2000) COURT OF APPEALS AFFIRMS TRIAL COURT'S ORDER INCARCERATING DUNLAP FOR CONTEMPT. On March 15, 2001, the U.S. District Court for the Middle District of North Carolina adjudged defendants Elfindepan, S.A.. Southern Financial Group and Tracy Calvin Dunlap, Jr. to be in civil contempt of court based on their refusal to obey court orders requiring them to produce documents, and account for and repatriate investor funds, related to their allegedly fraudulent investment schemes. • SEC - SEC Violations (Insider Trading, Securities Fraud) ACT - Disciplinary, Regulatory Action 02/08/2001, LITIGATION RELEASE NO. 16892 / SEC V. SOUTHERN FINANCIAL GROUP, (USDC Middle District of North Carolina, 1:00CV00742) amended complaint alleges that Southern Financial Group misappropriated millions of dollars from innocent investors through a fraudulent investment scheme commonly referred to as a "Prime Bank" scheme. Source Information RDC URL: https://grid.rdc.corMvss/entity.html?entityldracd62503a7de836f5d3f3d53eb346cc4 Source Name: SEC Litigation Releases - 2001, 05/06/2009 Source URL: http:/Arre.w.sec. gov/Irtigationrtitreleases/litrelarchivertitarchive2001 shtml Entity URL: • http./Mww.sec.govrtitigation/litreleases/k16977.htm • http://www.sec.gov/litigation/litreleases/k16892.htm Ccpyrght O 2013 Regulatory DataCorp. inc All Rigfrts Reserved Docoment generated on 0920,20. 13 12 18 10 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0049614 CONFIDENTIAL SDNY_GM_00195798 EFTA01360928