Cappoli Legal & Advisory, PLLC
Board & Executive Advisor | Former General Counsel | Former SEC Assistant GC | Regulatory Strategy
Meet James
Experience Matters.
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, enterprise risk, operations, employment matters, enforcement and inspection activities, standard setting, international and cross-border legal matters, and managed outside counsel and high-stakes litigation.
James Cappoli
James is a senior legal and regulatory executive with more than twenty years of experience advising public institutions, board members, and senior leaders on matters involving financial regulation, securities enforcement, governance, and enterprise risk. 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 leadership role, James directed the Office of the General Counsel's enforcement review function and advised agency leadership and Commissioners on a broad range of matters, including: public company disclosure matters, insider trading, market manipulation, broker-dealer and investment adviser matters, Section 5 and offering cases, accounting matters, FCPA, and other complex securities law issues.
James was subsequently appointed General Counsel by the Board of the PCAOB, serving as the organization's chief legal advisor. In that role, he oversaw the full spectrum of legal matters affecting the organization, including governance, enterprise risk, operations, employment matters, enforcement and inspection activities, international and cross-border legal matters, and significant litigation.
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Former General Counsel, Public Company Accounting Oversight Board
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Former Assistant General Counsel for Enforcement, Securities and 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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NASAA, Market & Regulatory Policy & Review Committee Member (2005-2006)
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Adjunct Professor, Howard University School of Law (2022)
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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*
