Securities And Exchange Commission v. Heinen et al
Plaintiff Securities and Exchange Commission alleged that defendant Nancy R. Heinen caused Apple to issue stock options that were backdated and altered company records to conceal the fraud, and that defendant Fred D. Anderson should have noticed Heinen's efforts but failed to take steps to ensure that Apple's financial statements were correct. The SEC further alleged that defendants personally benefited from the backdating and received several million dollars in unreported compensation as a result of the backdated options.
| Securities And Exchange Commission |
| Nancy Heinen and Fred Anderson |
| Wendy Howell |
| 5:2007cv02214 |
| April 24, 2007 |
| US District Court for the Northern District of California |
| San Jose Office |
| San Francisco |
| Howard R. Lloyd |
| Howard R. Lloyd |
| Securities/Commodities |
| 15 U.S.C. ยง 78 m(a) Securities Exchange Act |
| Defendant |
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Available Case Documents
The following documents for this case are available for you to view or download:
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Filing
39
CLERK'S NOTICE Case Management Conference set for 8/15/2008 10:30 AM. (dlm, COURT STAFF) (Filed on 6/23/2008)
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Filing
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JOINT CASE MANAGEMENT STATEMENT THIRD AND [PROPOSED] ORDER filed by Securities And Exchange Commission. (Mitchell, Robert) (Filed on 6/4/2008)
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Filing
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ORDER GRANTING re 36 Stipulation and Scheduling Order. Signed by Judge Jeremy Fogel on 3/27/08. (dlm, COURT STAFF) (Filed on 4/1/2008)
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Filing
36
STIPULATION and Proposed Scheduling Order by Securities And Exchange Commission. (Fickes, Mark) (Filed on 3/26/2008)
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Filing
35
Minute Entry: Further Case Management Conference held on 3/14/2008 before Judge Jeremy Fogel (Date Filed: 3/14/2008). Further Case Management Conference set for 6/13/2008 10:30 AM. Jury Selection set for 4/3/2009 01:30PM. Pretrial Conference set for 3/20/2009 11:00 AM. (Court Reporter Summer Clanton.) (dlm, COURT STAFF) (Date Filed: 3/14/2008)
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Filing
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CASE MANAGEMENT STATEMENT Second Joint Case Management Statement filed by Securities And Exchange Commission. (Mitchell, Robert) (Filed on 3/4/2008)
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Filing
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STIPULATION Governing Howell Documents by Nancy Heinen. (Ehrlich, Miles) (Filed on 1/24/2008)
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Filing
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STIPULATION Governing Documents Produced by KPMG LLP by Nancy Heinen. (Ehrlich, Miles) (Filed on 1/4/2008)
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Filing
31
STIPULATION AND ORDER re Non-Party Wendy Howell's Motion to Quash. Motion hearing set for 1/15/2008 vacated. Signed by Magistrate Judge Howard R. Lloyd on 12/12/2007. (hrllc2, COURT STAFF) (Filed on 12/12/2007)
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Filing
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Proposed Order Joint Stipulation Regarding Non-Party Howell's 21 Motion to Quash by Wendy Howell. (Holland, Erin) (Filed on 12/10/2007) Modified on 12/11/2007 (gm, COURT STAFF).
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Filing
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STIPULATION AND ORDER Continuing Filing Deadlines and Hearing Date. Defendant's opposition brief due by 12/10/2007. Non-party Howell's reply due by 12/21/2007. Motion hearing on motion to motion to quash continued to 1/15/2008, 10:00 AM. Signed by Magistrate Judge Howard R. Lloyd on 11/26/2007. (hrllc2, COURT STAFF) (Filed on 11/26/2007)
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Filing
28
STIPULATION and [Proposed] Order Continuing Hearing on Motion to Quash by Nancy Heinen. (Ehrlich, Miles) (Filed on 11/20/2007)
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Filing
27
STIPULATION AND ORDER Continuing Filing Deadlines and Hearing Date. Defendant's opposition to motion to quash due by 11/27/2007. Non-party Howell's reply due by 12/4/2007. Motion hearing set for 12/18/2007, 10:00 AM. Signed by Magistrate Judge Howard R. Lloyd on 11/15/2007. (hrllc2, COURT STAFF) (Filed on 11/15/2007)
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Filing
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STIPULATION to Continue Motion Hearing until 12/18/07 by Nancy Heinen. (Ehrlich, Miles) (Filed on 11/14/2007)
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Filing
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STIPULATED PROTECTIVE ORDER (MODIFIED BY THE COURT). Signed by Magistrate Judge Howard R. Lloyd on 11/13/2007. (hrllc2, COURT STAFF) (Filed on 11/13/2007)
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Filing
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Declaration of ERIN HOLLAND IN SUPPORT OF 21 MOTION TO QUASH OR IN THE ALTERNATIVE, FOR ISSUANCE OF A PROTECTIVE ORDER filed byWendy Howell. (Holland, Erin) (Filed on 11/2/2007) Modified on 11/5/2007 (gm, COURT STAFF). Modified on 11/6/2007 (sp, COURT STAFF).
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Filing
20
Minute Entry: Initial Case Management Conference held on 9/7/2007 before Judge Jeremy Fogel (Date Filed: 9/7/2007). Further Case Management Conference set for 3/14/2008 10:30 AM. (Court Reporter Raynee Mercado.) (dlm, COURT STAFF) (Date Filed: 9/7/2007)
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Filing
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JOINT CASE MANAGEMENT STATEMENT filed by Securities And Exchange Commission. (Fickes, Mark) (Filed on 8/31/2007)
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Filing
18
Certificate of Interested Entities by Miles F. Ehrlich (Ehrlich, Miles) (Filed on 8/30/2007)
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Filing
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ADR Clerks Notice Setting ADR Phone Conference on 9/5/07 at 3:00 p.m. Please take note that plaintiff's counsel initiates the call to all parties. (tjs, COURT STAFF) (Filed on 8/28/2007)
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Filing
16
Certificate of Interested Entities by Mark Philip Fickes Certificate of Non-party Interested Entities or Persons (Fickes, Mark) (Filed on 8/27/2007)
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Filing
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NOTICE of need for ADR Phone Conference (ADR L.R. 3-5 d) (Ehrlich, Miles) (Filed on 7/13/2007)
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Filing
13
CLERK'S NOTICE Case Management Conference rescheduled for 9/7/2007 10:30 AM. Case Management Statement due by 8/20/2007. (jfsec, COURT STAFF) (Filed on 7/11/2007)
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Filing
12
ANSWER of Defendant Nancy R. Heinen to Plaintiff's Amended Complaint by Nancy Heinen. (Ehrlich, Miles) (Filed on 5/31/2007) Modified on 5/31/2007 (bw, COURT STAFF).
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Filing
11
AMENDED COMPLAINT against all defendants. Filed bySecurities And Exchange Commission. (Mitchell, Robert) (Filed on 5/16/2007)
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Filing
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STIPULATION by Nancy Heinen. (Ehrlich, Miles) (Filed on 5/8/2007)
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Filing
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NOTICE of Appearance by Miles F. Ehrlich (Ehrlich, Miles) (Filed on 5/3/2007)
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Filing
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ORDER REASSIGNING CASE. Case reassigned to District Judge Jeremy Fogel for all further proceedings and Magistrate Howard R. Lloyd remains the Referral Judge for this case. Signed by the Executive Committee on 5/2/07. (srm, COURT STAFF) (Filed on 5/2/2007)
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Filing
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Proof of Service of Summons and Complaint ( 1 ) by Securities And Exchange Commission on Nancy R. Heinen (Mitchell, Robert) (Filed on 4/27/2007) Modified on 4/30/2007 (bw, COURT STAFF).
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Filing
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ADR SCHEDULING ORDER: Case Management Statement due by 7/24/2007. Case Management Conference set for 7/31/2007 01:30 PM. (bw, COURT STAFF) (Filed on 4/24/2007) Additional attachment(s) added on 4/26/2007 (bw, COURT STAFF).
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