EFTA Document EFTA01358158

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*: 6 Alert ID: Entity Information Entity ID: Entity Name: Address: Event: Source Information RDC URL: Source Name: Source URL: Entity URL: Southern Financial Group, Inc. South Carolina. UNITED STATES • SEC - SEC Violations (Insider Trading, Securities Fraud) ACT - Disciplinary, Regulatory Action 06117/2002, Securities and Exchange Commission v. Southern Financial Group, Inc., Richard M. Wooten, Charles Dennis McKittrick and Gerald F. Hunter, Jr., Defendants, and Springdale Investments, Inc., Relief Defendant, United States District Court for the District of South Carolina, Charleston Division, Civil Action File No. 2:02-1806-18 • SEC - SEC Violations (Insider Trading, Securities Fraud) ACT - Disciplinary, Regulatory Action 06/19/2002, Securities and Exchange Commission v. Southern Financial Group. Inc., Richard M. Wooten, Charles Dennis McKittrick and Gerald F. Hunter, Jr., Defendants, and Springdale Investments, Inc., Relief Defendant, United States District Court for the District of South Carolina, Charleston Division, Civil Action File No. 2:02-1806-18 • SEC - SEC Violations (Insider Trading, Securities Fraud) ACT - Disciplinary. Regulatory Action 05/28/2002, SECURITIES AND EXCHANGE COMMISSION V. SOUTHERN FINANCIAL GROUP. INC., RICHARD M. WOOTEN. CHARLES DENNIS MCKITTRICK AND GERALD F. HUNTER. JR., United States District Court for the District of South Carolina, Charleston Division, Civil Action File No. 2:02-1806-18 (Filed May 24, 2002) https://orid.rdc.comrviss/entity.henl?entityld=a7a395d6a12368e75d3f3d53eb346cc4 SEC Litigation Releases - 2002. 05/12/2012 http://www.sec.govilitigationAitreleases/litrelarchive/litarchive2002.shtml • hhuthip::/Avv/w..sseccicigovv/iil tt:ggaattioonnI/Ibittrreeleer seesA sArri 77556749. htm • lAtp://www sec govnitigation/litreleasesArl 7535 htm Consistent %Oh the terms and cznations of your RDC Subscriber Agreement the elormatnn contarned n ths document is for alert purposes only and is nab be use., la purposes ol determining an video:Wats ellablity to any aedt or any other FCRA permeable purposes Use, bother erg ees to It'd such nuttiest and efermsbon n lacteal confdence not to make use thereof COW than lot authoraed purposes to relate t only to employees reaming such trdermatom and not to release or <led:sotto any other party The Alert Sonnet= oantered on the document rray or may not pertain bee ndmdual or entity referenced in you, 'Nutty. Page a of 10 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL SDNY GM_00191748 DB-SDNY-0045564 EFTA01358158