Michael D. Appleton

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Profile

Mr. Michael D.
Appleton is Vice President-Compliance at Palisade Capital Management LLC.
Mr. Appleton joined Palisade Capital in March 2011 as Vice President of Compliance.
His responsibilities include general compliance matters, such as monitoring applicable regulatory developments, updating the Firm’s compliance manual and code of ethics, and working with the Firm’s marketing department on client reporting materials.
He reports to Palisade Capital’s General Counsel & Chief Compliance Officer and devotes all of his time to the Firm’s compliance efforts.
Prior to joining the Firm, he worked at Alaric Compliance Services where he was responsible for on-site client consulting engagements, mock SEC compliance audits, policy and procedure reviews, internal control reviews, and compliance program design.
Prior to Alaric, he was Chief Compliance Officer at both Dreman Value Management and Reich & Tang Asset Management.
Mr. Appleton received his B.A.
in economics from Rutgers University and has successfully completed his Level I Certification from the Charles River Compliance Program.

Former positions of Michael D. Appleton

Companies	Position	End
Alaric Compliance Services LLC Alaric Compliance Services LLC Investment ManagersFinance Alaric Compliance Services LLC engages in the provision of compliance advice and services. Its solutions include investment services, investment companies, business development companies, private fund managers, broke-dealers, Turnkey solutions, and technology solutions. The company was founded in 2004 and is headquartered in New York, NY.	General Counsel	27/02/2011
Dreman Claymore Dividend & Income Fund	Corporate Officer/Principal	05/07/2009
Reich & Tang Asset Management LLC Reich & Tang Asset Management LLC Investment ManagersFinance Founded in 1970 by Joseph Reich and Oscar Tang, Reich & Tang Asset Management LLC is a registered investment advisor located New York City. The firm is a wholly-owned subsidiary of Natixis Global Asset Management SA, Reich & Tang Asset Management and their wholly-owned subsidiaries, Reich & Tang Distributors, Inc. and Reich & Tang Services, Inc., are collectively referred to Reich & Tang.	General Counsel	-
Palisade Capital Management LP Palisade Capital Management LP Investment ManagersFinance Palisade Capital Management LLC (Palisade) is a SEC-registered investment advisor headquartered in Fort Lee, New Jersey. The firm was founded in 1995 by Martin L. Berman, Steven E. Berman, and Jack Feiler. They are a subsidiary of Palisade Capital Holdings LP. Palisade offers specialized investment solutions that seek to deliver attractive results to corporations, public plans, financial institutions, family offices, and individuals.	General Counsel	-
Taubenpost Capital LP Taubenpost Capital LP Financial ConglomeratesFinance Taubenpost Capital LP provides investment services. The firm invests in securities. The company was founded in September 2005 and is located in New York, NY.	General Counsel	27/02/2011

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Training of Michael D. Appleton

Rutgers State University of New Jersey

Undergraduate Degree

Experiences
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Private companies