Investor Relation Case Studies


Alan Stone & Company, LLC has successfully represented many unique AMEX, NASDAQ and OTC:BB traded public companies in investor relations, research and consulting. Through our highly focused investor relations group, we have more than doubled or tripled the market valuation of a number of successful "micro capitalization" emerging growth companies shortly after their becoming retained as our clients and significantly enhanced trading volume over time.

The public companies listed below currently or previously have engaged the services of Alan Stone & Company, LLC.

9278 Communications

American Body Armor

American Eco Corporation

Creative Computer Applications, Inc.

Dallas Gold & Silver

Elegant Illusions, Inc.

  Frontline Communications

GTC Telecom

Harlyn Products, Inc.


Lifepoint, Inc.

New Frontier Media, Inc.

North Coast Energy Corporation

Premier Concepts

Questcor Pharmeceuticals

Sparta Surgical Corporation

Voice It Worldwide, Inc.

Xybernaut Corporation


ASC arranged research report coverage on the Company, and this helped immediately with increased trading volume and improved the market capitalization substantially.  These efforts assisted the company in achieving more attractive terms on subsequent investment.

(formerly AMEX: "ABE")
ASC  represented "ABE" when it was owned by Unifast Industries, a NASDAQ Company. ABE was the "crown jewel" of Unifast and we then focused our communications campaign of introductions towards a third party and prominent financial buyer who was a Director of Bear Stearns & Company, who later purchased the controlling block of shares and infused ABE with several million dollars of working capital. Our clients obtained a $5 million profit on this transaction.


ASC initially assisted the company in developing contacts within the capital markets. Subsequently, after determining management's financing objectives, we procured several $10 to $15 million financing proposals from leading brokerage firms (Josephthal, Schroder Wertheim, Oppenheimer, and Cruttenden Roth). We also developed additional market maker support and research coverage. The Company's market capitalization increased 5 times in value from when our efforts began.

ASC  was initially retained by "CAP" when its shares were traded inactively at $1.00. We immediately attracted analyst coverage, newsletter coverage, and brokerage industry interest, more than tripling the stock value on significantly enhanced trading volume, all within a few months.  Our success was the result of focused and concentrated communications directed at highly targeted investment professionals.

ASC represented the company during a period when it was seeking much more active retail and brokerage support and research interest.  We were able to achieve an effective research coverage program, helped with several investor conferences and with investor communications, resulting in a doubling of share price and volume within several months of beginning a relationship.

(NASDAQ Small Cap: "EILL")
Previously retained by this specialty retailing company to provide a full service Investor Relations program and consulting regarding capitalization and investment intelligence.  Developed a program to enhance shareholder value. provide shuttle service to the capital markets. We also conducted a media campaign to broaden visibility, and visit with investment bankers in selected markets.

ASC assisted with research coverage and with media coverage in Equities Magazine, which helped develop a more active trading market in the shares.

ASC helped initiate research coverage on the company and was able to assist the company with certain contacts in the retail brokerage community and with selected conferences. The company has been successful in growing its business enormously during the initial period of our engagement and will continue to get its story out to investors who should begin to see the significant aspects of its growth and expansion as our program and research coverage continues.

When ASC was retained by "HARLYN", its stock was inactively trading at $2.00/ share. Within six months, it reached a high of $5.00, then the value leveled off at about $3.50, consistently reflecting increased levels of volume. We increased interest in HARLYN through personal meetings with many national and regional brokerage firms, analyst coverage, media, articles in the Wall Street Journal and other publications, newsletters, and attendance at various brokerage firm conferences. Our effortsgenerated offers by several third party investment banking firms (Schroder Wertheim, Oppenheimer, Wedbush Morgan) to underwrite a secondary stock offering or convertible debenture. We helped management obtain a $20 million credit facility proposal for a major NY bank to restructure the Company's debt, and we spearheaded an LBO proposal to purchase the Company's assets from its principals

ASC was initially retained by "IRIS" when its stock was inactively trading at $.60 share. As a result of our Investor Relations program, the stock climbed over a period of four years to more than $9.00 per share. We consistently produced detailed analyst reports which generated "BUY" recommendations in numerous publications from Wall Street analysts. We also obtained extensive media coverage resulting in many favorable articles about IRIS's growth plans. We successfully assisted IRIS in a communications campaign involving a private placement of $2.5 million equity capital for its R&D subsidiary from a NASD broker dealer. A number of leading, third party regional investment banking firms made various offers to finance IRIS through either secondary stock offerings or convertible preferred stock in the amount of $5-$10 million, including Cruttenden Roth, Paulson and Gruntal.

ASC represented the company approximately two years, during which time the company went from a very inactively traded bulletin board company, previously having been delisted, to a very actively traded company which was able to successfully raise several rounds of private capital and upgrade its listing to the American Stock Exchange. During this period of representation, the company was able to achieve research coverage, attain major interest of retail and brokerage firms, and began to develop some institutional interest.  The shares achieved a major increase in price and volume and have been accorded a market capitalization in excess of $100 million. We actively traveled with management to many brokerage conferences, investment shows, visits to brokerage firms, and assisted actively with investor communications.

ASC assisted this internet television company subsequent to its initial public offering during the popular periods of "dot com" investment. The company was able to benefit from research coverage and attendence at certain investor conferences including the NIBA capital conference and AMEX presentations.  ASC assisted the company with upgrading its listing from the OTC bulletin board to the American Stock Exchange and assisted with the listing process. During the period, the shareholder values improved and liquidity improved significantly.

(NASDAQ Small Cap: "NOOF")
Upon retaining Alan Stone & Company, New Frontier Media, Inc. obtained a $7 million "firm" commitment for a secondary offering. We conducted an extensive roadshow for the Company. The Company was able to finance a significant acquisition as a result of these efforts,which provided liquidity and enabled growth through future acquisitions and new product development.

(NASDAQ Small Cap: "NCEB")
ASC  represented "NCEB" when it was listed on the American Stock Exchange, and when it was seeking  capital to grown and expand. We increased the company's market capitalization in a short time frame by arranging several analyst reports and newsletter recommendations. We then combined our investor relations to communicate the Company’s potential to a respected third party underwriter of oil and gas, resulting in a successful $5 million public offering with Paulson Investment Co.

ASC was retained to help the company maintain its NASDAQ listing when its shares were trading at $.50 and in imminent danger of delisting.  Within a month of our program, the shares were trading at $1.50 and solved the company's listing problem.

ASC represented the company and its predecessor Ribogene, Inc for over two years and assisted the company's management in developing significantly enhanced trading volume in its shares.  When our representation began, the shares only traded two days per week with volume of under 5,000 daily.  Today, the shares frequently trade in the hundereds of thousands in volume on many days and the company has be able to successfully float more shares to retail, corporate, and institutional investors, at the same time increasing its market capitalization.  We have traveled extensively with senior management on roadshows attending brokerage conferences and one-on-one meetings, exposing the company to a great deal of investment firms in both NY and California. We have also helped the company secure additional research coverage and develop a more extensive level of interest in its shares. Management has been able to successfully effect several mergers and financings during this period of our representation.

ASC  was very successful in obtaining significant media interest in the company including several articles in the local press and national publications. We assisted management in identifying and developing relationships with several underwriting firms, which resulted in the filing of a $10 million stock offering with Coleman & Co. and Paulson Investment Co. Our firm arranged a cross-country road show to assist with the offering

ASC was initially retained by Xybernaut Corporation to schedule a national Roadshow and introduce the Company to investment firms, institutions, analysts and brokers. We were successful in obtaining several leading analyst research reports recommendations as well as prominent newsletter coverage on the Company. We organized presentations at several institutional brokerage conferences in New York, sponsored by Merrill Lynch, Goldman Sachs and DLJ, together with attendance at the Morgan Stanley High Technology conference. We introduced several private placement and secondary financing opportunities. We regularly traveled with the Company's management to present the Company to the Wall Street community.

(formerly NASDAQ Small Cap: "MEMO")
When ASC  was retained by "MEMO", its shares were at the all time low, after year-end selling pressure. We designed a program of sponsorship, attracted several new market makers and developed research support from highly respected analysts and newsletters. As a result, the volume picked up significantly, and its shares quickly doubled. Our efforts continued in the area of media coverage, sponsorship, market maker support, attending investor conferences, and one-on-one meetings with brokers, enabling the company to achieve financing on more attractive terms.



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