From: Pankaj Sati
on behalf of PWM 815-Research
Sent: 5/29/2013 12:32:38 PM
To: amanda.kirby@db.com
CC: PWMUSAMLKYC
Subject: RDC Alert :—Southern Financial LLC [I)
Attachments: Southern Financial LLC_RDC Alert9.pdf; Southern Financial LLC_RDC Alert8.pdf; Southern Financial LLC_RDC
Alert7.pdf; Southern Financial LLC_RDC Alert6.pdf; Southern Financial LLC_RDC Alerapdf; Southern Financial
LLC_RDC Alert4.pdf; Southern Financial LLC_RDC Alert3.pdf; Southern Financial LLC_RDC Alert2.pdf; Southern
Financial LLC_RDC Alertl.pdf; Southern Financial LLC_RDC Alert.pdf
Classification: For internal use only
Hi Armanda
Attached is an alert for the party mentioned above. Please note that
clearance from compliance is required prior to KYC approval.
Please follow the instructions below:
Forward explanation of whether the alert pertains to your client directly to
compliance.
Receive confirmation from compliance that alert can be removed from the queue.
Include copies of all responses along with your KYC.
RDC Alert :-- southern Financial LLC
(see attached file: southern Financial LLC_RDC Al ert9. pdf) (see attached file:
Southern Financial LLC_RDC Al ert8.pdf)(see attached file: Southern Financial
LLC_RDC Alert7. pdf) (See attached file: southern Financial LLC_RDC Al ert 6. pd f)
(see attached file: southern Financial LLC_RDC Al er t5 . pd f)(see attached file:
Southern Financial LLC_RDC Al ert4.pdf)(see attached file: Southern Financial
LLC_RDC Alert3. pdf) (See attached file: southern Financial LLC_RDC Alert2.pdf)
(See attached file: Southern Financial LLC_RDC Alert'. pdf) (See attached file:
Southern Financial LLC_RDC Alert.pdf)
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0049506
CONFIDENTIAL SDNY_GM_00195690
EFTA01360877