Cappoli Legal & Advisory, PLLC
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Securities and General Counsel Expertise So You Can Focus On Your Business
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Meet James
"Wisdom comes with experience."
Drawing on deep securities law expertise and nearly 15 years at the U.S. Securities and Exchange Commission, James has been a key legal strategist in shaping national enforcement priorities and regulatory policy. Known for his exceptional analytical rigor, sound judgment, and decisive leadership, James is widely regarded as a trusted authority on complex legal and regulatory matters.
James is the former General Counsel of the Public Company Accounting Oversight Board (PCAOB), where he served as the organization’s chief legal advisor. James advised on all legal matters regarding internal governance, operations, employment matters, enforcement and inspection activities, standard setting and managed outside counsel and high-stakes litigation.
James Cappoli
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James began his career investigating alleged securities laws violations at the Massachusetts Securities Division where he actively litigated and resolved administrative proceedings. He then spent nearly 15 years at the SEC, serving as Assistant General Counsel. In that role, James managed the entire enforcement review portfolio for OGC, providing advice to Enforcement Staff and Commissioners on a broad range of matters, including: insider trading, market manipulation, broker-dealer and investment adviser matters, Section 5 and offering cases, accounting and disclosure frauds, FCPA, and more.
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​James was later appointed General Counsel by the Board of the PCAOB where he oversaw all legal matters facing the organization.
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Former General Counsel, Public Company Accounting Oversight Board
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Former Assistant General Counsel for Enforcement, Securities & Exchange Commission
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Chairman's Award For Excellence (Jay Clayton, 2018)​
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Excellence In Leadership Award (Mary Jo White, 2015)
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Former Senior Advisor to Chair (2021) and Special Counsel to Commissioner (2011)
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Former Enforcement Attorney, Massachusetts Securities Division
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Appointed Special Assistant Massachusetts Attorney General (2007)​
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JD: Northeastern University School of Law
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BS Business. Indiana University, Kelley School of Business, Honors Program
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American Bar Association Member | Licensed in Massachusetts*
