EFTA Document EFTA01358165

DB12000P - Deutsche Bank Private Bank Alert Batch Date: 05/29/2013 Alert Date: 05/29/2013 Organization: Southern Financial LLC Address: Countty United States Tracking ID: Reporting ID: Alert*: 4 Alert ID: 1559801.11522860.25661518 Entity Information Entity ID: Entity Name: Address: Event: Source Information Southern Financial Group, Inc. South Carolina, UNITED STATES SEC - SEC Violations (Insider Trading, Securities Fraud) ACT - Disciplinary, Regulatory Action 12/22/2004, The Securities and Exchange Commission announced that the Honorable David C. Norton. United States District Judge for the Distnct of South Carolina. Charleston Division, entered Final Judgments as to Defendants Southern Financial Group, Inc. (Southern), Richard M. Wooten (Wooten) and Charles Dennis McKittrick (McKittrick). RDC URL: Source Name: Source URL: Entity URL: https://arid.rdc.conVwss/entity.html?entityld=67b955a58510d8e75d3f3d53eb346cc4 SEC Litigation Releases - 2003, 11/14/2012 http://www.sec.gov/litigation/litreleases/litrelarchive/litarchive2003.shtml http://www sec.gov/litigationAitreleases/k19009.htm Consistent aside the terms and ecnelitions of your RDC Subscriber Agreement the eh:emotes+ contarned n thrsdecumeM is for alert purposes only ands rot to be used la purposes ol Catamaran an 'Sem% throaty tor any oredt or any other FCRA permeable purposes User bother ag ees to hold such national and eformshon in settee err-len:v. not to make use thereof Met than for authorized purposes to relate t only to employees requiring such orearrrabon. and not to release or disclosed to any other party The Alert nterrnabon contained in the document nay or my not pertain ti the incandual or entity referenced in your inquiry. Page d of 10 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0045578 CONFIDENTIAL SDNY_GM_00191762 EFTA01358165