The Intersection of Securities Law and EB-5 Investor Practice

The Intersection of Securities Law and EB-5 Investor Practice

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The Intersection of Securities Law and EB-5 Investor Practice by Peter S. Erly and Lincoln Stone serves as a brief primer on securities law in the EB-5 context and as a practical guide for attorneys seeking to steer clear of securities law sanctions.


This monograph covers:

  • SEC precedents that are likely applicable to the question of paying referral fees
  • Registration requirements and exemptions from registration
  • Disclosure rules
  • Potential sources of liability
  • Common securities law issues in the EB-5 context
  • Potential impact of securities violations on immigration status and more!



This monograph serves as an extension of the practical guidance found in Immigration Options for Investors & Entrepreneurs, 2nd Ed.


This product contains digital goods. All digital goods (MP3, PDF, ZIP. Etc.) are available for downloading from your digital library for two years from the date of purchase. This product is available in electronic format ONLY; no print copies are offered.

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Peter S. Erly has been with Gravel and Shea in Burlington, VT, since 1987 and currently serves as its co-managing partner. Erly concentrates his practice on the representation of business entities in equity financings, including EB-5 transactions. He serves as general outside corporate counsel to clients of all sizes in a variety of business sectors, including investment advisers, broker-dealers, and investment funds. Erly was named 2011 Lawyer of the Year for corporate law by Best Lawyers for Burlington, and is listed Band One for corporate law in Vermont by Chambers and Partners. He holds a J.D. from Georgetown University Law Center and a B.A. from Williams College.

Lincoln Stone practices law in Los Angeles with Stone & Grzegorek LLP in Los Angeles, an immigration law firm of 15 attorneys. Stone served five years as chair of the AILA/EB-5 Investor Visa Committee, is editor-in-chief of both editions of Immigration Options for Investors and Entrepreneurs, and he is chair of AILA’s EB-5 Investor Visa Conference. Stone holds degrees in law, business administration, and the humanities.

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