Chapter 3, “SOX Whistleblower Process and Practical Advice,” in Understanding SOX Whistleblower Protections

Aspatore - Thomson Reuters / West

John F. Fullerton III, a Member of the Firm in the Employment, Labor & Workforce Management practice, in the firm’s New York office, co-authored “SOX Whistleblower Process and Practical Advice,” Chapter 3 of Understanding SOX Whistleblower Protections, a book published by Aspatore, a Thomson Reuters/West company.

Understanding Sox Whistleblower Protections highlights whistleblower safeguards under both SOX and the more recent Dodd-Frank Act that amended SOX in 2010. This legislation makes it unlawful for covered entities and their officers, employees, contractors, and agents to engage in adverse employment actions against whistleblowers; such adverse actions include discharging, demoting, suspending, threatening, harassing, or in any way discriminating against an employee based on the terms and conditions of employment, because the employee engaged in protected activity under SOX. For more information, visit