Cappoli Legal & Advisory, PLLC
Board & Executive Advisor | Former General Counsel | Former SEC Assistant GC | Regulatory Strategy
Securities Law
James brings more than twenty years of experience as a securities regulator, enforcement attorney, and chief legal officer. He served nearly fifteen years at the U.S. Securities and Exchange Commission before being appointed General Counsel of the Public Company Accounting Oversight Board (PCAOB). Earlier in his career, he served as an Enforcement Attorney at the Massachusetts Securities Division, where he was a member of the North American Securities Administrators Association's Broker-Dealer Committee. James has also taught advanced securities regulation as an Adjunct Professor at Howard University School of Law. Drawing upon experience advising government leaders, governing boards, and executive management, he helps clients navigate complex legal and regulatory challenges with practical judgment informed by years of service inside the institutions that shape and enforce the federal securities laws.
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Federal Securities Advice
Securities laws and regulations present complex challenges for businesses, executives, and regulated entities. From capital formation and ongoing compliance to regulatory investigations and enforcement matters, Cappoli Legal & Advisory provides practical guidance, strategic counsel, and experienced representation informed by decades of SEC and PCAOB leadership experience.
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Regulatory Compliance: SEC and PCAOB
Cappoli Legal & Advisory helps organizations build and strengthen legal and compliance frameworks through the development and enhancement of policies, procedures, and internal controls. We also advise clients on strategic regulatory engagement, including participation in rulemakings, standard-setting initiatives, and the preparation of comment letters on proposed rules and standards.
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Enforcement
Companies, boards, and executives facing regulatory scrutiny need experienced counsel and sound judgment. James brings a unique perspective developed through decades of advising government decision makers and reviewing complex enforcement matters.
Drawing upon that experience, James helps clients navigate investigations, engage effectively with regulatory staff, develop comprehensive response strategies, prepare Wells Submissions and other advocacy materials, and conduct thoughtful legal risk assessments. A disciplined and strategic approach to regulatory engagement can improve outcomes, preserve credibility, and reduce overall legal and business risk.
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Evaluation of Claims or Approach
Significant regulatory matters and potential litigation require careful judgment and thoughtful strategy. Cappoli Legal & Advisory provides candid assessments and experienced second opinions to help clients understand risk, evaluate options, and make informed decisions with confidence.
