EFTA Document EFTA01360936

rdc DB12000P - Deutsche Bank Private Bank Alert Batch Date: 05/29/2013 Alert Date: 05/29/2013 Organization: Address: Tracking ID: Southern Financial LLC Gauntly United States 6229369 Reporting ID: 6229369 Alert #: 9 Alert ID: 1559801.11522860.36364841 Entity Information Entity ID: Entity Name: Address: Event: Source Information 36364841 Southern Financial Services Inc. Asheville, NC, UNITED STATES • 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 "Ponzi" 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. 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: httpJMvrro.justice.gov/usao/offices/index. html Entity URL: httpl/www.justice gov/usao/ncw/press/billbailey html Conatent uith the terms and cardeces of your RDC Subscriber Agreement the mformaban contained n thrs document is for alert purposes only and a not to be used Ice purposes ol determining an eckeduals elogobItty 101 any aedt or any other FCRA permrseble purposes User lather agrees to hold such mater.' and Inkirtabon m settee, confidence not to make use thereof pent than 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 nkematcn contained m On document rray or may not pertam ti the inclmclual a entity referenced et your Mary. Page 9 of 10 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0049626 CONFIDENTIAL SDNY_GM_00195810 EFTA01360936