ARTICLES BY FIRM AUTHORS

SUMMER.2008

Making Misconduct Matter

What to do (or not) when your opponent engages in misconduct

By Charles R. Rice as published in The Recorder

SPRING.2008

On Litigation Skills

By Charles R. Rice as published in ABTL Report Northern California

AUG.06.2007

Direct Directions

Let the witness take center stage during direct examination

By Charles R. Rice as published in The Recorder

SPRING 2007

The Revised Uniform Partnership Act: An Introduction

By Richard F. Munzinger and Matthew J. Gluck as published in ABTL Report Northern California

WINTER.2007

A Few Brief Words

Keep busy readers in mind when crafting your written arguments

By Charles R. Rice as published in The Recorder

AUTUMN.2006

Button Up

Resist the voluntary spirit when defending a deposition

By Charles R. Rice as published in The Recorder

FALL.2006

SECURITIES ENFORCEMENT DEFENSE ALERT

By Shartsis Friese LLP Securities Enforcement Practice Group

AUG.23.2006

New Law Changes Rules on Management of ERISA Plan Assets

By Shartsis Friese LLP Investment Funds & Advisers

AUG.18.2006

Questions, Periods

The Art and Science of Depositions

By Charles R. Rice as published in The Recorder

SUMMER.2006

SLUSA’S Potential Catchall Consolidation in Covered Class Actions

By Jason P. Lee as published in The American Bar Association Securities Litigation Journal

JUL.26.2006

SEC’s Soft Dollar Release

By Shartsis Friese LLP Investment Funds & Advisers

JUN.2006

No End in Sight to Options Backdating Investigations

By Jahan P. Raissi

FEB.21.2006

Monkey Business

Peacemaking among people and other primates

By Charles R. Rice as published in The Recorder

AUG.16.2005

SHARTSIS FRIESE WRITES THE BOOK ON HEDGE FUND REGULATION

2005-2006

The Developing Regulatory Landscape for Hedge Fund Managers

By Jason P. Lee and James J. Frolik as published in Lipper HedgeWorld SEC Registration Report 2005 - 2006

NOV.14.2005

Expert Advice

Key Questions to Ask Opposing Expert Witnesses

By Charles R. Rice as published in The Recorder

SEPT.19.2005

Your Witness...

A few tips on conducting an effective cross-examination

By Charles R. Rice as published in The Recorder

JUL.07.2005

The Emerging Evolution of Enforcement Actions Against the Hedge Fund Industry

By Jason P. Lee as published in HedgeWorld News

JUN.07.2005

What D&Os Should Know About SEC Fraud Investigations

By Jason P. Lee as published in Compliance Week

MAY.2005

The SEC is Focusing More Closely on Investment Adviser Conflicts of Interest - and So Should Advisers

By Jahan P. Raissi

MAY.2005

SEC Requires Hedge Fund Managers to Register as Investment Advisers

By James J. Frolik and Douglas L. Hammer as published in Compliance Review

SPRING.2005

On Litigation Strategy

By Charles R. Rice as published in ABTL Report Northern California

JAN.20.2005

Investment Advisers that are Not Registered with the SEC

By Shartsis Friese LLP Investment Funds & Advisers

JAN.2005

Client Advisory: Dealing with Disgruntled Investors

By Charles R. Rice

OCT.2004

SEC Proposes Investment Adviser registration of hedge fund managers

By James J. Frolik and Douglas L. Hammer as published in Compliance Review

SUMMER.2004

The Feeney Pit and the Pendulum: Swings in Criminalizing Securities Laws

By Robert Charles Friese as published in ABTL Report Northern California

JAN.08.2004

Annual Obligation Review

By Shartsis Friese LLP Investment Funds & Advisers

JAN.07.2004

Compliance Programs

By Shartsis Friese LLP Investment Funds & Advisers

DEC.03.2003

NASD Rule 2790 - The “New Issue” Rule

By Shartsis Friese LLP Investment Funds & Advisers

OCT.10.2003

Amendments to Custody Rules Adopted by the SEC

By Shartsis Friese LLP Investment Funds & Advisers

AUG.19.2003

Commodity Futures Trading Commission (“CFTC”) – Registration Relief

By Shartsis Friese LLP Investment Funds & Advisers

SPRING.2003

California’s Supreme Court Limits The Scope Of A Trade Secrets Release & The Enforceability Of A Covenant Not To Compete

By Robert E. Schaberg as published in the ABA Section of Litigation Business Torts Journal

SPRING.2003

On Litigation Strategy

By Charles R. Rice as published in ABTL Report Northern California

NOV.19.2002

Commodity Futures Trading Commission (“CFTC”) – No-Action Relief

By Shartsis Friese LLP Investment Funds & Advisers

AUG.8.2002

Sarbanes-Oxley Act of 2002

By Shartsis Friese LLP Investment Funds & Advisers

MAY.29.2002

Gramm-Leach-Bliley Act – Privacy Regulations

By Shartsis Friese LLP Investment Funds & Advisers

MAY.02.2002

New Exemption from Certification Requirements

By Shartsis Friese LLP Investment Funds & Advisers

APR.30.2002

Anti-Money Laundering & the USA PATRIOT Act - Follow up

By Shartsis Friese LLP Investment Funds & Advisers

APR.02.2002

Anti-Money Laundering & the USA PATRIOT Act

By Shartsis Friese LLP Investment Funds & Advisers

MAY.2001

Trademark Protection/Registration of New Top Level Domain Names

By Jeffrey A. O’Connell and Latisha R. Brown

MAR.2001

On Securities

By Charles R. Rice as published in ABTL Report Northern California

JUL.2000

On Securities

By Charles R. Rice as published in ABTL Report Northern California

MAR.2000

The Five Most Important Rules for Winning Trials

By Ronald Hayes Malone as published in ABTL Report Northern California

2000

Dissolution Actions Yield Less than Fair Market Enterprise Value (Appraising for “Fair Value” Under California Corporations Code Section 2000)

By Arthur J. Shartsis

NOV.1999

On Securities

By Charles R. Rice as published in ABTL Report Northern California

JUN.1999

The Ten Commandments for avoiding a Fraudulent Real Estate Transaction

By Joel Zeldin as published in the California Land Title Association’s Claims Awareness Hot Sheet

MAR.1999

The Evolving Insider Trading Debate

By Zesara C. Chan and Robert C. Friese as published in the ABTL Report Northern California