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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
South Carolina, UNITED STATES Event: . SEC - SEC Violations (Insider Trading. Securities Fraud) ACT - Disciplinary, Regulatory Action 03/09/2005, The Commission alleged that Southern's books and financial records inaccurately reflected a cash balance in an account ranging from 8226,931.80 to $240.006.80: Sou
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
South Carolina, UNITED STATES Event: . SEC - SEC Violations (Insider Trading. Securities Fraud) ACT - Disciplinary, Regulatory Action 03/09/2005, The Commission alleged that Southern's books and financial records inaccurately reflected a cash balance in an account ranging from 8226,931.80 to $240,006.80; Sou
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: Ot,urthy United States Tracking ID: Reporting ID: Alert #: 3 Alert ID: 1559801.11522860.26791053 Entity Information Entity ID: Enti
, Inc. South Carolina. UNITED STATES • SEC - SEC Violations (Insider Trading. Securities Fraud) ACT - Disciplinary. Regulatory Action 03/09/2005, The Commission alleged that Southern's books and financial records inaccurately reflected a cash balance in an account ranging from $226,931.80 to $240,006.80; Sou
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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: Gauntly United States Tracking ID: 6229369 Reporting ID: 6229369 Alert #: 3 Alert ID: 1559801.11522860.26791053 Entity Information
South Carolina. UNITED STATES Event: . SEC - SEC Violations (Insider Trading, Securities Fraud) ACT - Disciplinary. Regulatory Action 03/09/2005, The Commission alleged that Southern's books and financial records inaccurately reflected a cash balance in an account ranging from $226,931.80 to $240,006.80; Sou
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Mutual Connections (41)
Entities connected to both Organization: Southern Financial LLC and The Commission
Southern Financial Group
ORGANIZATION25 w/ Organization:·2 w/ The
the Middle District
LOCATION22 w/ Organization:·3 w/ The
the Securities and Exchange Commission
ORGANIZATION16 w/ Organization:·8 w/ The
United States District Court
ORGANIZATION19 w/ Organization:·3 w/ The
the United States District Court
ORGANIZATION11 w/ Organization:·9 w/ The
Dunlap
PERSON16 w/ Organization:·3 w/ The
Prince Charles
PERSON10 w/ Organization:·9 w/ The
RW
Richard M. Wooten
PERSON10 w/ Organization:·9 w/ The
SEC Administrative Proceedings - 2005
ORGANIZATION9 w/ Organization:·9 w/ The
GH
Gerald F. Hunter
PERSON8 w/ Organization:·8 w/ The
Bailey
PERSON12 w/ Organization:·3 w/ The
George W. Bush
PERSON12 w/ Organization:·3 w/ The
Asheville
LOCATION12 w/ Organization:·3 w/ The
ASC - Associated
ORGANIZATION12 w/ Organization:·3 w/ The
AVL Properties
ORGANIZATION12 w/ Organization:·3 w/ The
Securities Fraud, Mail Fraud
ORGANIZATION12 w/ Organization:·3 w/ The
Southern Financial Services Inc.
ORGANIZATION12 w/ Organization:·2 w/ The
Charleston
LOCATION11 w/ Organization:·3 w/ The
AT
Anne M. Tompkins
PERSON11 w/ Organization:·3 w/ The
South Carolina
LOCATION7 w/ Organization:·6 w/ The