James Cappoli Named PCAOB General Counsel

The Public Company Accounting Oversight Board (PCAOB) today announced the appointment of James Cappoli as General Counsel. The PCAOB’s General Counsel provides legal services and advice about all PCAOB operations and manages the Office of the General Counsel (OGC) to execute the organization's statutory mandate. Prior to his current appointment, Mr. Cappoli served as the PCAOB’s Acting General Counsel.

“The Office of the General Counsel plays an essential role that touches nearly every aspect of the PCAOB’s oversight and day-to-day activities,” said PCAOB Chair Erica Y. Williams. “The PCAOB has already benefited greatly from James’ outstanding legal experience and leadership, and we are pleased he will continue to lead OGC.”

Before being named Acting General Counsel in July 2023, Mr. Cappoli was a Deputy General Counsel in OGC. He joined the PCAOB in September 2022 from the Securities and Exchange Commission (SEC), where he spent more than 14 years in the Office of the General Counsel, most recently as the Assistant General Counsel for Enforcement Matters. During his tenure at the SEC, Mr. Cappoli also served as Senior Advisor to an SEC Acting Chair and previously as Special Counsel to an SEC Commissioner.

“I thank the Board for this opportunity,” said Mr. Cappoli. “I am honored to lead the exceptionally talented OGC staff and look forward to leveraging our collective wisdom to advise the Board to help the organization fulfill its investor-protection mission.”

Prior to joining the SEC, Mr. Cappoli was an Enforcement Attorney at the Massachusetts Securities Division with the Secretary of the Commonwealth of Massachusetts, where he was responsible for investigating and litigating state securities laws violations. He earned a J.D. from Northeastern University School of Law and a Bachelor of Science in business with honors from Indiana University, Kelly School of Business.

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About the PCAOB

The PCAOB is a nonprofit corporation established by Congress to oversee the audits of public companies in order to protect investors and further the public interest in the preparation of informative, accurate, and independent audit reports. The PCAOB also oversees the audits of brokers and dealers registered with the Securities and Exchange Commission, including compliance reports filed pursuant to federal securities laws.

Contact

PCAOB Office of Communications and Engagement
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