From: on behalf of Sent: To: CC: Subject: Attachments: Pankaj Sati PWM 815-Research 5/29/2013 12:32:38 PM [email protected] PWMUSAMLKYC RDC Alert :—Southern Financial LLC [I) Southern Financial LLC_RDC Alert9.pdf; Alert7.pdf; Southern Financial LLC_RDC LLC_RDC Alert4.pdf; Southern Financial Financial LLC_RDC Alertl.pdf; Southern Southern Financial LLC_RDC Alert8.pdf; Southern Financial LLC_RDC Alert6.pdf; Southern Financial LLC_RDC Alerapdf; Southern Financial LLC_RDC Alert3.pdf; Southern Financial LLC_RDC Alert2.pdf; Southern Financial LLC_RDC Alert.pdf Classification: For internal use only Hi Armanda Attached is an alert for the party mentioned above. Please note that clearance from compliance is required prior to KYC approval. Please follow the instructions below: Forward explanation of whether the alert pertains to your client directly to compliance. Receive confirmation from compliance that alert can be removed from the queue. Include copies of all responses along with your KYC. RDC Alert :-- southern Financial LLC (see attached file: southern Financial LLC_RDC Al ert9. pdf) (see attached file: Southern Financial LLC_RDC Al ert8.pdf)(see attached file: Southern Financial LLC_RDC Alert7. pdf) (See attached file: southern Financial LLC_RDC Al ert 6. pd f) (see attached file: southern Financial LLC_RDC Al er t5 . pd f)(see attached file: Southern Financial LLC_RDC Al ert4.pdf)(see attached file: Southern Financial LLC_RDC Alert3. pdf) (See attached file: southern Financial LLC_RDC Alert2.pdf) (See attached file: Southern Financial LLC_RDC Alert'. pdf) (See attached file: Southern Financial LLC_RDC Alert.pdf) CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0049506 CONFIDENTIAL SDNY_GM_00195690 EFTA01360877