This document is an alert report from Deutsche Bank Private Bank regarding Southern Financial LLC, flagged for SEC violations including insider trading and securities fraud. The report details multiple regulatory actions and disciplinary events involving Southern Financial LLC and associated individuals, highlighting fraudulent schemes and violations of the net capital rule.
documents/vol00010-efta01371139-pdf.pdf
{"key_people":["Richard M. Wooten","Charles Dennis McKittrick","Gerald F. Hunter, Jr."],"document_date":"2017-06-15","document_type":"financial","key_locations":["Virgin Islands, U.S.","District of South Carolina, Charleston Division"],"document_subtype":"Alert Report","key_organizations":["Southern Financial LLC","SEC","UC Properties LLC","Springdale Investments, Inc."],"reference_numbers":["KYC 1790655","Alert ID: 9476247.11602637.65444359"]}