FacultyFaculty/Author Profile

James A. Cappoli

U.S. Securities and Exchange Commission
Assistant General Counsel, Office of the General Counsel
Washington, DC, USA

James A. Cappoli is Assistant General Counsel for Enforcement matters at the Securities and Exchange Commission.  Prior to this position, he served as Senior Special Counsel and Senior Counsel in the Legal Policy Group of the Office of the General Counsel where he also focused principally on enforcement issues.  Mr. Cappoli also served as counsel to a Commissioner during his tenure at the Commission.  Mr. Cappoli joined the Commission’s staff in 2007 from the Massachusetts Securities Division, where he had been an Enforcement Attorney.  He is a graduate of Northeastern University School of Law and holds a Bachelor of Science in business from Indiana University.

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