This document is an alert from Deutsche Bank Private Bank regarding SEC violations by Southern Financial Group. It details disciplinary and regulatory actions taken against the entity for insider trading and securities fraud, including civil contempt of court for refusal to obey court orders related to fraudulent investment schemes.
documents/vol00010-efta01358166-pdf.pdf
{"title":"Deutsche Bank Private Bank Alert","key_people":["Tracy Calvin Dunlap, Jr."],"document_date":"2013-05-29","document_type":"legal","key_locations":["North Carolina, UNITED STATES"],"document_subtype":"SEC Violations Alert","key_organizations":["Southern Financial Group","SEC","U.S. District Court for the Middle District of North Carolina","Deutsche Bank Private Bank"],"reference_numbers":["6229369","1559801.11522860.25646082","1:00CV00742","LITIGATION RELEASE NO. 16977","LITIGATION RELEASE NO. 16892"]}