DB12000P - Deutsche Bank Private Bank Batch Date: 0529/2013 Alert Alert Date: 05/29/2013 Organization: Southern Financial Lit Address: Country: United States Tracking ID: 6229369 Reporting ID: 6229369 Alert #. 1 Alert ID: 1559801.11522860.46402345 Entity Information Entity ID: 46402345 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 Gane had Dicom hire the stock promoters in June and November 1999 to tout Dicom's stock in return for compensation; Gene 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: https://orid.rdc.com/wss/entity.html?entityld=9af0405228d562185d3f3d53eb3413cc4 Source Name: SEC Litigation Releases - 2003, 11/14/2012 Source URL: httpliWww.sec.govilitigation/litreleases/litrelarchivefikarthlve2003.shtml Entity URL: • httplAmAny sec.gov/itigation.itreleases.r18286.htm • tgtp:/Avwxv sec gov/litigation/complaints/comp18286.hbn Consatent wth the tarns and connect-isof your ROC Subsaba Agreemert nth:archon contaned m this &corneal is la alert outman only and is not tote u