Cappoli Legal & Advisory, PLLC
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Securities and General Counsel Expertise So You Can Focus On Your Business
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Securities Law
James has a combined 20+ years of experience as a securities and auditing oversight regulator. James served nearly 15 years at the SEC, was appointed as the PCAOB's General Counsel, and was an enforcement attorney at the Massachusetts Securities Division during which time he was a member of the North American Securities Administrators Association's Broker-Dealer Committee. James has also lectured on securities regulation at Howard University School of Law.
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Securities Advice
Securities laws and regulations can be complex and costly to navigate. From private placement fundraising to insider trading compliance and investigations, Cappoli Legal & Advisory provides clear guidance, comprehensive solutions, and strategic defense support.
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Regulatory Compliance: SEC and PCAOB
Cappoli Legal & Advisory develops comprehensive legal compliance solutions and provides targeted advice to strengthen existing policies, procedures, and processes. We also help companies participate in the regulatory process by preparing comment letters on proposed rules and standards.
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Enforcement
Companies, boards and leadership teams need lawyers with the professional judgement to navigate regulatory investigations. As Assistant General Counsel for Enforcement Matters at the SEC, and as General Counsel at the PCAOB, James brings unique insight to provide honest counsel, engage with regulatory staff, draft Wells Submissions, and conduct legal risk assessments. Developing a comprehensive strategy to manage and coordinate these interactions can lead to more successful outcomes and reduce overall risk.
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Evaluation of Claims or Approach
Regulatory issues and potential litigation require careful planning. We provide honest assessments and second opinions to help you make informed, confident decisions.
