SEC v. Matthew J. Blevins (undisclosed control blocks, 2014)

Settled

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In April 2014 the SEC settled administrative proceedings against Matthew Blevins, vice president of transfer agent Empire Stock Transfer, finding that he caused the firm's registration filings to omit the control of an outside attorney, Marcus Luna. He agreed to a $25,000 penalty.

The record

What was ordered

Civil penalty

$25k

Disgorgement

—

Prejudgment interest

—

Total relief

$25k

Alleged gain

—

A dash means the release did not state a figure we could extract, not that the figure is zero. Penalty and disgorgement are stored separately so aggregates across the library do not double-count the same dollars.

What is alleged to have happened

The Securities and Exchange Commission instituted and settled this proceeding on April 8, 2014 as release 34-71905, without admission or denial by the respondent.

Blevins ran Empire's day-to-day operations from 2007 and reviewed and filed its Forms TA-1. The order finds those forms never disclosed that Luna had financed the purchase of Empire and held a control position, and that Blevins willfully aided and abetted and caused Empire's violations of the transfer-agent provisions of the Exchange Act.

This library tags the matter as undisclosed control blocks because the order finds that a person controlling the firm was never disclosed in its regulatory filings. The tagging is ours, not the regulator's: agencies charge statutory provisions, not technique names.

Blevins was censured, ordered to cease and desist, and ordered to pay a $25,000 civil penalty in instalments.

For the regulator's own account of the facts, read the primary document linked above. This page deliberately summarises the structured record rather than reproducing the release.

What technique is this, and how does it work?

This action is tagged with one technique in our taxonomy. The tagging is ours: regulators charge statutory provisions, not technique names, so the mapping is an editorial judgement described in our editorial policy.

• Undisclosed control blocks — see how it works, what statute it engages, and every other action tagged the same way.

Timeline

1. 2014-04-08 Administrative proceeding instituted (cease-and-desist)

Primary documents

Everything on this page derives from the documents below. Where our summary and the primary document disagree, the primary document is right.

• SEC order

The linked release is a work of the United States government and is not subject to copyright. Our summary and narrative above are our own writing.

Related actions

Other actions in the library sharing at least one technique tag with this one.

Record added September 10, 2026. submit a correction.