Illegal Activity
concerning
Blackmail
none
Date
05/29/2013
Document Type
report
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:41
Summary
This document is an alert from Deutsche Bank Private Bank regarding Southern Financial LLC, highlighting SEC violations including insider trading and securities fraud involving Southern Financial Group, Inc., Richard M. Wooten, and Charles Dennis McKittrick. The alert references SEC litigation releases as the source of this information.
Metadata
- Subject
- Alert
- Sender
- —
- Recipients
- —
- Document ID
- 1559801.11522860.25661518
- Date
- 05/29/2013
Illegal Activity
- Severity
- concerning
- Description
- The document reports on SEC violations including insider trading and securities fraud by Southern Financial Group, Inc., Richard M. Wooten, and Charles Dennis McKittrick.
- Categories
- Insider TradingSecurities Fraud
- Content Type
- first_hand
Evidence:
- SEC Violations (Insider Trading, Securities Fraud)
Relationships 2
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| Southern Financial Group, Inc. | business | Richard M. Wooten | Wooten is associated with Southern Financial Group, Inc. |
| Southern Financial Group, Inc. | business | Charles Dennis McKittrick | McKittrick is associated with Southern Financial Group, Inc. |
Notable Quotes 1
The Securities and Exchange Commission announced that the Honorable David C. Norton. United States District Judge for the Distnct of South Carolina. Charleston Division, entered Final Judgments as to Defendants Southern Financial Group, Inc. (Southern), Richard M. Wooten (Wooten) and Charles Dennis McKittrick (McKittrick).
Red Flags 1
- SEC Violations (Insider Trading, Securities Fraud)
Media & Journalist References
- SEC Litigation Releases - 2003, 11/14/2012
- http://www.sec.gov/litigation/litreleases/litrelarchive/litarchive2003.shtml
- http://www sec.gov/litigationAitreleases/k19009.htm
Public Knowledge
- Context
- SEC litigation releases are generally public information.
- Media Worthy
- Yes
- Likely Public
- True
Legal Compliance
- SEC Violations (Insider Trading, Securities Fraud)
- Disciplinary, Regulatory Action
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowLegal matters/litigationBusiness dealingsAllegations/complaintsIllegal activities
Organizations 5
Deutsche Bank Private BankSouthern Financial LLCSouthern Financial Group, Inc.SEC - Securities and Exchange CommissionUnited States District Judge for the Distnct of South Carolina. Charleston Division
Locations 3
United StatesSouth CarolinaCharleston
Text Analysis
- Tone
- Informative
- Purpose
- To alert about SEC Violations (Insider Trading, Securities Fraud) and Disciplinary, Regulatory Action against Southern Financial Group, Inc., Richard M. Wooten, and Charles Dennis McKittrick.
- Significance
- The document highlights potential legal and financial risks associated with Southern Financial Group, Inc. and its associates.
File Info
- File Name
- EFTA01358165.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:41:28.064281
- DOJ Source
- View on DOJ