EFTA01358154.pdf

rdc Organization: Southern Financial LLC DB12000P - Deutsche Bank Private Bank Batch Date: 05/29/2013 Alert Date: Alert 05/29/2013 Address: Counhy United States Tracking ID: Reporting ID: Alert*: 1 Alert ID: 1559801.11522880.48402345 Entity Information Entity ID: Entity Name: Southern Financial Services, Inc. Address: Boca Raton, Florida, UNITED STATES Event: SEC - SEC Violations (Insider Trading, Securities Fraud) ACT - 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, and televised interviews to commit securities fraud through baseless financial projections and the stock promoters'"scalping." The complaint also alleges that the promoters touted Dicom's stock but did not disclose all of the compensation they were to receive pursuant to signed agreements; alleges that Gana had Dicom hire the stock promoters in June and November 1999 to tout Dicom's stock in retum for compensation; Gane supplied the promoters with Dicom's financial projections for the next three years: $24.7 million in revenues and $19.7 million in earnings; two of the promoters. Welsh and Tamburello, each wrote investment opinions that described Dicom as an investment. Source Information RDC URL: Mtps://grid.rdc.comAns/entity.html?entityld=9af04c5228d562185d3f3d53eb346cc4 Source Name: SEC Litigation Releases - 2003, 11/14/2012 Source URL: htt*://www.sec.govnitigationAitreleases/litrelarchive/litarchive2003.shtml Entity URL: • http://www.sec.bovAitigation/litreleasesAr18288.htm • littp://www.sec.gowlitigation/complaints/comp18288.htm Consistent %Oh the terms anti oxelitions of your RDC Subscriber Agreement the eleernehan dont:mad in tMdocument is for alert purposes only and nab be used la purposes ol determining an indeduals ellablity to any aedt de any other FCRA permeable purposes Uset bother erg ees to hod such nuttiest and efarnsbon n lacteal con/dene< not to make use thereof COW MIA lot authoraed purposes, to relate t only to employees mowing such troleareben and not to release or disclosed to any other party The Alert Soma= oantared on the document nay or may not pertain bee edmdual or eery referenced n you, 'minty. Page 1 of 10 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0045559 CONFIDENTIAL SONY GM_00191743 EFTA01358154