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. § 78 m(a) Securities Exchange Act |
Defendant |
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) |
Filing 38 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 36 STIPULATION and Proposed Scheduling Order by Securities And Exchange Commission. (Fickes, Mark) (Filed on 3/26/2008) |
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) |
Filing 34 CASE MANAGEMENT STATEMENT Second Joint Case Management Statement filed by Securities And Exchange Commission. (Mitchell, Robert) (Filed on 3/4/2008) |
Filing 33 STIPULATION Governing Howell Documents by Nancy Heinen. (Ehrlich, Miles) (Filed on 1/24/2008) |
Filing 32 STIPULATION Governing Documents Produced by KPMG LLP by Nancy Heinen. (Ehrlich, Miles) (Filed on 1/4/2008) |
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Filing 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). |
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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 26 STIPULATION to Continue Motion Hearing until 12/18/07 by Nancy Heinen. (Ehrlich, Miles) (Filed on 11/14/2007) |
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Filing 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). |
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) |
Filing 19 JOINT CASE MANAGEMENT STATEMENT filed by Securities And Exchange Commission. (Fickes, Mark) (Filed on 8/31/2007) |
Filing 18 Certificate of Interested Entities by Miles F. Ehrlich (Ehrlich, Miles) (Filed on 8/30/2007) |
Filing 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) |
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) |
Filing 15 NOTICE of need for ADR Phone Conference (ADR L.R. 3-5 d) (Ehrlich, Miles) (Filed on 7/13/2007) |
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) |
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). |
Filing 11 AMENDED COMPLAINT against all defendants. Filed bySecurities And Exchange Commission. (Mitchell, Robert) (Filed on 5/16/2007) |
Filing 10 STIPULATION by Nancy Heinen. (Ehrlich, Miles) (Filed on 5/8/2007) |
Filing 8 NOTICE of Appearance by Miles F. Ehrlich (Ehrlich, Miles) (Filed on 5/3/2007) |
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Filing 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). |
Filing 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). |
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