This document is an alert from Deutsche Bank Private Bank regarding Southern Financial LLC. It includes information about SEC violations related to insider trading and securities fraud by Southern Financial Group, Inc. The alert references disciplinary and regulatory actions taken by the SEC in 2005, including inaccuracies in financial records and failure to report net capital deficiencies.
documents/vol00010-efta01360932-pdf.pdf
{"title":"Deutsche Bank Private Bank Alert","key_people":["Richard M. Wooten","Charles Dennis McKittrick","Gerald F. Hunter, Jr."],"document_date":"2013-05-29","document_type":"financial","key_locations":["South Carolina, United States"],"document_subtype":"Alert","key_organizations":["Southern Financial LLC","Southern Financial Group, Inc.","Securities and Exchange Commission"],"reference_numbers":["6229369","1559801.11522860.26791053","2:02-1806-18"]}