CLEARED: RDC Alert Southern Financial LLC [I (Kshitij Golani, 10 Jul 2017)

Subject: CLEARED: RDC Alert Southern Financial LLC [I] From: Kshitij Golani Date: Mon, 10 Jul 2017 16:29:19 -0400 To: Cynthia Rodriguez Cc: PWMUS AMLKYC Classification: For internal use only Hello, AML Compliance reviewed 4 RDC alerts generated for Southern Financial LLC. Southern Financial LLC has a banking and a brokerage relationship with DB. See KYC 1790655/GCIS 483882. Alert Details - Alert 1, Southern Financial Group, which is based in South Carolina, was shut down by the Secur