Securities And Exchange Commission v. Heinen et al Featured Case

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.

Plaintiff: Securities And Exchange Commission
Defendant: Fred Anderson and Nancy Heinen
Objector: Wendy Howell
Case Number: 5:2007cv02214
Filed: April 24, 2007
Court: California Northern District Court
Office: San Jose Office
County: San Francisco
Presiding Judge: Howard R. Lloyd
Referring Judge: Howard R. Lloyd
Nature of Suit: Securities/Commodities
Cause of Action: 15:78m(a) Securities Exchange Act
Jury Demanded By: Defendant

Available Case Documents

The following documents for this case are available for you to view or download:

Date Filed#Document Text
June 23, 2008 39
CLERK'S NOTICE Case Management Conference set for 8/15/2008 10:30 AM. (dlm, COURT STAFF) (Filed on 6/23/2008)
June 4, 2008 38
JOINT CASE MANAGEMENT STATEMENT THIRD AND [PROPOSED] ORDER filed by Securities And Exchange Commission. (Mitchell, Robert) (Filed on 6/4/2008)
April 1, 2008 37 Opinion or Order of the Court
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)
March 26, 2008 36
STIPULATION and Proposed Scheduling Order by Securities And Exchange Commission. (Fickes, Mark) (Filed on 3/26/2008)
March 14, 2008 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)
March 4, 2008 34
CASE MANAGEMENT STATEMENT Second Joint Case Management Statement filed by Securities And Exchange Commission. (Mitchell, Robert) (Filed on 3/4/2008)
January 24, 2008 33
STIPULATION Governing Howell Documents by Nancy Heinen. (Ehrlich, Miles) (Filed on 1/24/2008)
January 4, 2008 32
STIPULATION Governing Documents Produced by KPMG LLP by Nancy Heinen. (Ehrlich, Miles) (Filed on 1/4/2008)
December 12, 2007 31 Opinion or Order of the Court
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)
December 10, 2007 30
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).
November 26, 2007 29 Opinion or Order of the Court
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)
November 20, 2007 28
STIPULATION and [Proposed] Order Continuing Hearing on Motion to Quash by Nancy Heinen. (Ehrlich, Miles) (Filed on 11/20/2007)
November 15, 2007 27 Opinion or Order of the Court
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)
November 14, 2007 26
STIPULATION to Continue Motion Hearing until 12/18/07 by Nancy Heinen. (Ehrlich, Miles) (Filed on 11/14/2007)
November 13, 2007 25 Opinion or Order of the Court
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)
November 2, 2007 23
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).
September 7, 2007 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)
August 31, 2007 19
JOINT CASE MANAGEMENT STATEMENT filed by Securities And Exchange Commission. (Fickes, Mark) (Filed on 8/31/2007)
August 30, 2007 18
Certificate of Interested Entities by Miles F. Ehrlich (Ehrlich, Miles) (Filed on 8/30/2007)
August 28, 2007 17
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)
August 27, 2007 16
Certificate of Interested Entities by Mark Philip Fickes Certificate of Non-party Interested Entities or Persons (Fickes, Mark) (Filed on 8/27/2007)
July 13, 2007 15
NOTICE of need for ADR Phone Conference (ADR L.R. 3-5 d) (Ehrlich, Miles) (Filed on 7/13/2007)
July 11, 2007 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)
May 31, 2007 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).
May 16, 2007 11
AMENDED COMPLAINT against all defendants. Filed bySecurities And Exchange Commission. (Mitchell, Robert) (Filed on 5/16/2007)
May 8, 2007 10
STIPULATION by Nancy Heinen. (Ehrlich, Miles) (Filed on 5/8/2007)
May 3, 2007 8
NOTICE of Appearance by Miles F. Ehrlich (Ehrlich, Miles) (Filed on 5/3/2007)
May 2, 2007 7 Opinion or Order of the Court
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)
April 27, 2007 4
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).
April 24, 2007 3
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).

Access additional case information on PACER

Use the links below to access additional information about this case on the US Court's PACER system. A subscription to PACER is required.

Access this case on the California Northern District Court's Electronic Court Filings (ECF) System

Search for this case: Securities And Exchange Commission v. Heinen et al
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Web [ Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Fred Anderson
Represented By: Jerome Cary Roth
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Nancy Heinen
Represented By: Miles F. Ehrlich
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Legal Web | Google | Bing | Yahoo | Ask ]
Plaintiff: Securities And Exchange Commission
Represented By: Sahil Wesley Desai
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Legal Web | Google | Bing | Yahoo | Ask ]
Objector: Wendy Howell
Represented By: Erin Jane Holland
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Legal Web | Google | Bing | Yahoo | Ask ]

Disclaimer: Justia Dockets & Filings provides public litigation records from the federal appellate and district courts. These filings and docket sheets should not be considered findings of fact or liability, nor do they necessarily reflect the view of Justia.


Why Is My Information Online?