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Published on: March 5, 2015

New Publication on EB-5 Financing and U.S. Securities Laws

By Catherine DeBono Holmes

JMBM and AAEB5 Announce New Publication on EB-5 Financing and U.S. Securities Laws

Jeffer Mangels Butler & Mitchell LLP (JMBM) and Advantage America EB5 Group are pleased to announce the publication of Regional Centers & Sponsors and U.S. Securities Laws: How to evaluate broker-dealer, investment company and investment adviser registration requirements.

“When it comes to the EB-5 investment market, the SEC provides clear guidance in some areas and very little in others,” said co-author Catherine DeBono Holmes, Chair of JMBM’s Investment Capital Law Group. “The information in this publication covers the complex compliance issues associated with EB-5 offerings.”

Written in response to hundreds of queries received from EB-5 professionals and developers, the articles in the 30-page booklet were first published as a four-part series on the Investment Law Blog.

“Regional Centers and project sponsors are right to be concerned with complying with U.S. securities laws,” said co-author Victor T. Shum, CEO of Advantage America EB-5 Group. “Violations come with penalties that can jeopardize both the project and its investors, so the EB-5 investment must be structured properly.”

Holmes and Shum each have significant experience as securities counsel on a wide range of investments – both public and private – and have many years of experience in the EB-5 arena, representing numerous clients on projects funded in part through EB-5 financing.

Click here to download a copy of the booklet on EB-5 Financing and U.S. Securities Laws.

Catherine DeBono Holmes is the Chair of JMBM's Investment Capital Law Group. She helps clients worldwide to raise and manage investment capital from U.S. and non-U.S. investors.
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Brad Cohen is a partner in JMBM's Taxation and Trusts & Estates Groups. His practice emphasizes business planning related to complex corporate and partnership transactions, including mergers and acquisitions, financing and business succession planning, income tax planning, and estate tax planning, all on an integrated basis. Brad is best known for his business and tax advice related to the motion picture, television, music, emerging media and sports industries. One of the focuses of his practice is coordinating the relationships among the entertainment, advertising and nonprofit industries. In addition, he advises real estate industry clients in sale, acquisition, deferred exchanges and financing, including structuring of Qualified Opportunity Zone funds. Contact Brad at BCohen@jmbm.com or 310.201.3575.

Jamie Ogden is a partner in JMBM's Taxation and Trusts & Estates Groups. He advises individuals and business entities on a range of tax planning, tax controversy and estate planning matters. In addition to his experiences in private practice, Jamie also brings several years of service from both state and federal government. Jamie routinely advises U.S. and non-U.S. individuals on complex income, estate and gift tax planning, along with business succession and general family office matters. He serves as lead tax counsel on M&A transactions, financing, internal corporate restructurings and deferred compensation matters. Jamie also works frequently with litigators on the tax aspects of litigation, judgments and settlements. Jamie has extensive experience with foreign compliance matters, including each variation of the IRS amnesty programs. Contact Jamie at JOgden@jmbm.com.

Eric Bardwell is a Partner in the Taxation, Trusts & Estates Group at Jeffer Mangels Butler & Mitchell LLP. He advises individuals, families and their businesses in wealth-transfer strategies that efficiently minimize taxes. Eric works closely with each client's team of advisors including accountants, investment advisors and insurance agents, to ensure the client's personal planning and wealth preservation goals are accomplished in a coordinated manner. In addition, he advises clients on estate and trust administration, probate administration and the preparation of gift and estate tax returns. Mr. Bardwell has been designated as a Certified Specialist in Estate Planning, Trust & Probate law by the State Bar of California, Board of Legal Specialization. Contact him at EBardwell@jmbm.com or 949.623.6251.