Cappoli Legal & Advisory

Experienced Advocacy

Strategic Securities Advice

General Counsel Services

Federal Securities Law Counsel - Navigate compliance and regulatory investigations with confidence

Fractional General Counsel - Practical, on-demand support without the overhead of a full in-house team

Contact James

Cappoli Legal & Advisory, PLLC

As the former General Counsel of the PCAOB and Assistant General Counsel for Enforcement Matters at the SEC, James provides experienced "outside" general counsel and securities legal advisory services to reduce risks and support informed decision-making across a wide spectrum of business needs.

James collaborates as co-counsel, drawing upon over 20 years of financial regulatory and in-house experience to help clients navigate complex matters efficiently and consistently.

James looks forward to helping clients solve problems with clarity, sound judgment, and efficiency.

Meet James

Practice Areas

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Securities Law

Experienced advice and guidance for navigating private placements, analyzing disclosures, and engaging with SEC or PCAOB staff during rulemakings, inspections, examinations, or investigations.

Fractional General Counsel

As outside general counsel, I partner with leadership and in-house teams to provide comprehensive legal support or tailored solutions. Our approach helps clients identify and manage legal risk, while preserving flexibility and controlling costs.

Regulatory Legal Compliance

Providing experience and guidance for ongoing legal compliance needs, including policies and procedures development and review, regulatory engagement, risk assessments, and proactive issue spotting.

Co-Counsel Services

Collaborating with attorneys and consultants to provide securities and auditing oversight expertise drawn from over 20 years of combined experience at the SEC, PCAOB and Massachusetts Securities Division.

Mission

Commitment

Cappoli Legal & Advisory, PLLC seeks to represent clients with integrity, professionalism, and excellence. Small businesses, executives, and in-house teams are under constant regulatory and legal demands. James Cappoli brings experience, sound judgment and decisiveness to reduce risk and allow clients to focus on their core business responsibilities.