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DB-SDNY-0027433 EFTA_001751I I EFTA01299062 rdc DB12000P - Deutsche Bank Private Bank Alert Batch Date: 05/29/2013 Alert Date: 05/29/2013 Organization: Southern Financial LLC Address: C!iuntry United States Tracking ID: 6229369 Reporting ID: 6229369 Alert #: 2 Entity Information Alert ID: 1559801.11522860.41603821
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, an
2 mentions1 same-page
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DB-SDNY-0027355 EFTA_00175033 EFTA01299047 rdc DB12000P - Deutsche Bank Private Bank Alert Batch Date: 05/29/2013 Alert Date: 05/29/2013 Organization: Southern Financial LLC Address: C!iuntiy United States Tracking ID: 6229369 Reporting ID: 6229369 Alert #: 2 Entity Information Alert ID: 1559801.11522860.41603821
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, an
2 mentions1 same-page
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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: Reporting ID: Alert*: 1 Alert ID: 1559801.11522880.48402345 Entity Information Entity ID: Entity
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, an
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2 mentions1 same-page
Page ?Same page
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 En
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, an
2 mentions1 same-page
Page ?Same page
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 En
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, an
2 mentions1 same-page
Page ?Same page
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 En
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, an
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2 mentions1 same-page
Page ?Same page
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 En
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, an
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Mutual Connections (38)
Entities connected to both Organization: Southern Financial LLC and Dicom Imaging Systems
the Middle District
LOCATION22 w/ Organization:·3 w/ Dicom
United States District Court
ORGANIZATION19 w/ Organization:·3 w/ Dicom
the Securities and Exchange Commission
ORGANIZATION16 w/ Organization:·3 w/ Dicom
Dunlap
PERSON16 w/ Organization:·3 w/ Dicom
SEC Litigation Releases - 2003
ORGANIZATION9 w/ Organization:·8 w/ Dicom
Counhy United States
LOCATION10 w/ Organization:·5 w/ Dicom
Bailey
PERSON12 w/ Organization:·3 w/ Dicom
Boca Raton
LOCATION7 w/ Organization:·8 w/ Dicom
Asheville
LOCATION12 w/ Organization:·3 w/ Dicom
WE
Welsh
PERSON7 w/ Organization:·8 w/ Dicom
ASC - Associated
ORGANIZATION12 w/ Organization:·3 w/ Dicom
AVL Properties
ORGANIZATION12 w/ Organization:·3 w/ Dicom
Securities Fraud, Mail Fraud
ORGANIZATION12 w/ Organization:·3 w/ Dicom
DI
Dicom
PERSON7 w/ Organization:·8 w/ Dicom
TA
Tamburello
PERSON7 w/ Organization:·8 w/ Dicom
George W. Bush
PERSON12 w/ Organization:·3 w/ Dicom
the United States District Court
ORGANIZATION11 w/ Organization:·3 w/ Dicom
Southern Financial Services Inc.
ORGANIZATION12 w/ Organization:·2 w/ Dicom
Charleston
LOCATION11 w/ Organization:·3 w/ Dicom
AT
Anne M. Tompkins
PERSON11 w/ Organization:·3 w/ Dicom