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: 6229369 Reporting ID: 6229369 Alert #: 7 Alert ID: 1559801.11522860.24893031 Entity Information Entity ID: Entity Name: Alias: Event: Source Information 24893031 Southern Financial Group SFG SEC - SEC Violations (Insider Trading, Securities Fraud) ACT - Disciplinary, Regulatory Action 0429/2008, Litigation Release No. 20543/ Securities and Exchange Commission v. Elfindepan. S.A., et al., United States District Court for the Middle District of North Carolina, Civil Action No. 1:00CV00742 Final Judgments Entered Against Elfindepan S.A., Strategic Asset Funds S.A.. and Southem Financial Group for Fraudulent High-Yield Investment Scam. RDC URL: Source Name: Source URL: Entity URL: https://orid.rdc.conVwss/entity.html?entityld=28d4c04c98834f5f5d3f3d53eb346cc4 SEC Litigation Releases - 2008, 11/11/2009 http://www.sec.govnitigation/litreleases/Irtrelarchive/litarchive2008.shtml http://www sec.gov/litigationAitreleases/2008/Ir20543.htm Consistent wadi the burns and cznelitions of your RDC Subscriber Agreement the eh:emotes+ contarned n IN, decumeM Is for alert purposes only and as rot to be used la purposes ol deteerrinung an indrveluals ehoblity to any creelt or any other FCRA permestale purposes User bother ag ees to hod such national and eformsten in settee conrdenx. not to make use thereof other then for authorized purposes, to relate t only to employees requiring such orearrrabon. and not to release or disclosed to any other party The Alert ntcanabon contained in tan document nay or troy not pertain ti the mcandual or entity referenced in your inquiry. Page 7 of 10 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0049624 CONFIDENTIAL SDNY_GM_00195808 EFTA01360934