Cappoli Legal & Advisory

Strategic Securities Counsel

Securities Enforcement & Defense

General Counsel Services

Federal Securities Law Counsel - Strategic advice and experienced representation for complex securities regulation, compliance, investigations, and regulatory engagement.

Fractional General Counsel - Executive leadership and practical, on-demand support for evolving business needs*

Contact James

Cappoli Legal & Advisory, PLLC

As former General Counsel of the PCAOB and former Assistant General Counsel for Enforcement Matters at the SEC, James provides strategic legal counsel informed by more than two decades of experience inside the institutions that shape and enforce the federal securities laws.

Drawing upon extensive experience advising government leaders, governing boards, and executive management, James helps clients navigate complex regulatory, governance, enforcement, and business matters with practical judgment and a clear understanding of how institutions actually operate.

Meet James

Practice Areas

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Federal Securities Law

Experienced advice and guidance for navigating complex legal and regulatory matters and engaging with the SEC or PCAOB on rulemakings, inspections, examinations, or investigations and other regulatory initiatives.

Fractional General Counsel*

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

Regulatory Legal Compliance

Providing experienced counsel for ongoing legal and regulatory compliance needs, including development and enhancement of policies and procedures, risk assessments, and proactive identification of emerging legal issues.

Strategic Engagement

Helping organizations proactively engage with regulators. Advising on regulatory strategy, policy initiatives, and other agency interactions. Drawing on decades of experience working directly with agency leadership and understanding internal processes.

Mission

Commitment

Cappoli Legal & Advisory, PLLC provides strategic legal counsel informed by decades of experience and senior leadership at the U.S. Securities and Exchange Commission and the Public Company Accounting Oversight Board. Businesses, executives, and in-house legal teams face increasingly complex legal and regulatory demands. James Cappoli helps clients navigate legal, regulatory, and governance challenges with practical judgment, institutional insight, and a focus on effective solutions.