Illegal Activity
suspicious
Blackmail
none
Date
2013-05-29
Document Type
alert
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:42
Summary
This document is an alert from Deutsche Bank Private Bank regarding Southern Financial Group, Inc. and related individuals, who were subject to SEC violations including insider trading and securities fraud. The alert references SEC litigation releases related to the case.
Metadata
- Subject
- Alert
- Sender
- Deutsche Bank Private Bank
- Recipients
- —
- Document ID
- 1559801.11522860.25661518
- Date
- 2013-05-29
Illegal Activity
- Severity
- suspicious
- Description
- The document reports on SEC violations related to insider trading and securities fraud by Southern Financial Group, Inc., Richard M. Wooten, and Charles Dennis McKittrick.
- Categories
- Securities FraudInsider Trading
- 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 | Richard M. Wooten is associated with Southern Financial Group, Inc. |
| Southern Financial Group, Inc. | business | Charles Dennis McKittrick | Charles Dennis McKittrick is associated with Southern Financial Group, Inc. |
Red Flags 1
- SEC Violations (Insider Trading, Securities Fraud)
Media & Journalist References
- SEC Litigation Releases - 2003, 11/14/2012
- http://www.sec.goyflitigation/litreleases/litrelarchiye/litarchive2003.shtml
- http://www sec.govnitigationAitreleases/Ir19009.him
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/complaints
Organizations 4
Deutsche Bank Private BankSouthern Financial LLCSouthern Financial Group, Inc.SEC - Securities and Exchange Commission
Locations 4
United StatesSouth CarolinaCharlestonDistnct of South Carolina
Financial Entities 1
Deutsche Bank
Text Analysis
- Tone
- Informative
- Purpose
- To alert about SEC violations (Insider Trading, Securities Fraud) involving Southern Financial Group, Inc., Richard M. Wooten, and Charles Dennis McKittrick.
- Significance
- The document highlights a regulatory action by the SEC against Southern Financial Group, Inc. and related individuals.
File Info
- File Name
- EFTA01360933.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:42:03.811979
- DOJ Source
- View on DOJ