EFTA Document EFTA01360930

rdc DB12000P - Deutsche Bank Private Bank Alert Batch Date: 05/29/2013 Alert Date: 05/29/2013 Organization: Southern Financial LLC Address: Counhy United States Tracking ID: 6229369 Reporting ID: 6229369 Alert*: 1 Alert ID: 1559801.11522880.48402345 Entity Information Entity ID: Entity Name: Address: Event: Source Information 46402345 Southern Financial Services, Inc. Boca Raton, Florida, UNITED STATES SEC - SEC Violations (Insider Trading, Securities Fraud) ACT - Disciplinary, Regulatory Action 08/13/2003, The SEC filed civil charges in federal district court in Miami. Florida against the former president of Dicom Imaging Systems, Inc. and five Florida stock promoters including Southern Financial Services, alleging that they used the Internet. press releases. spam e-mails, and televised interviews to commit securities fraud through baseless financial projections and the stock promoters'"scalping." The complaint also alleges that the promoters touted Dicom's stock but did not disclose all of the compensation they were to receive pursuant to signed agreements; alleges that Gana had Dicom hire the stock promoters in June and November 1999 to tout Dicom's stock in return for compensation; Gane supplied the promoters with Dicom's financial projections for the next three years: $24.7 million in revenues and $19.7 million in earnings; two of the promoters. Welsh and Tamburello, each wrote investment opinions that described Dicom as an investment. RDC URL: hrips://grid.rdc.comAns/entity.html?entityld=9af04c5228d562185d3f3d53eb346cc4 Source Name: SEC Litigation Releases - 2003, 11/14/2012 Source URL: http://www.sec.00vnitigationAitreleases/litrelarchive/litarchive2003.shtml Entity URL: • http://www.sec.aovAitigation/litreleasesAr18288.htm • littp://www.sec.gowlitigation/complaints/comp18288.htm Consistent ..t the ter sand carditions of your RDC Subscriber Agreement the informs's:in contained in the dccument Is for alert purposes only and is rot to be used lot purposes ol determining an "Sem% throaty for any erode or any other FCRA permeable purposes User bother ag ees to hold such material and efarnstan in seam/ conrclenx. not to make use thereof other then for authorized purees.", to relate a only to employees requiring such trdormatien, and not to release w disclose a to any other party The Alert nterrnabon contained in the document nay or rray not pertain ti the indmduel or entity referenced in your inquiry. Pope I of 10 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0049618 CONFIDENTIAL SDNY_GM_00195802 EFTA01360930