BIS Investigation Defense
Experienced Federal Defense Counsel for BIS Investigations
BIS Investigation
Team Lead
Former DOJ Trial Attorney
BIS Investigation Team
Former HSI Special Agent
The U.S. Bureau of Industry and Security (BIS) is responsible for enforcing the Export Administration Regulations (EAR) and other export control laws and regulations governing international trade, exports, reexports, and certain transfers within the United States. It routinely conducts investigations as part of its enforcement strategy, and these investigations can expose companies and individuals to substantial penalties. As the BIS reported in 2024:
“In fiscal year 2023, BIS investigations led to the criminal conviction of 67 individuals and businesses for export violations with penalties of $1,710,019 in criminal fines, $3,383,410 in forfeitures, $9,020,618 in restitution and 1,779 months of imprisonment. In addition, OEE and the Office of Chief Counsel for Industry & Security completed 147 administrative export matters, resulting in $303,401,583 in civil penalties. The convictions, restitution, months of imprisonment, and civil penalties all represent the highest in OEE’s history.”
With the current administration’s focus on cross-border enforcement, we expect to continue to seek high levels of BIS investigative activity in the years ahead. For the companies and individuals targeted in these investigations, engaging experienced federal defense counsel is the first step toward executing an effective defense strategy.
Why Choose Oberheiden P.C. for BIS Investigation Defense?
As the above figures show, BIS investigations present serious risks for targeted entities as well as their owners, executives, and other individuals who may be implicated in federal export violations, anti-boycott violations, and other matters falling within the BIS’s enforcement authority. As a result, when facing scrutiny from the BIS (or its Office of Export Enforcement (OEE)), experienced legal representation is essential.
So, why should you choose Oberheiden P.C. for BIS investigation defense?
Our federal defense team is composed of senior-level attorneys who have extensive experience representing clients in high-stakes federal enforcement matters. This includes matters involving import or export violations investigated by the BIS, the Office of Foreign Assets Control (OFAC), the Committee on Foreign Investment in the United States (CFIUS), and other federal authorities. We are intimately familiar with the complex issues that arise in matters involving or supporting export enforcement actions, including those targeting defense trade controls, and we are equally aware of the consequences companies and individuals can face if they fail to defend themselves effectively.
Additionally, many of our defense lawyers have prior high-level experience within the federal government. This includes experience in leadership positions with the U.S. Department of Justice (DOJ), the U.S. Department of State (DOS), and Congress. Our team also includes former high-ranking agents with the Federal Bureau of Investigation (FBI), U.S. Secret Service, and other federal law enforcement agencies.
In other words, we know federal defense. We know why and when agencies like the BIS open investigations, and we know what it takes to resolve these investigations in our clients’ favor. While we of course cannot guarantee a favorable outcome, we can guarantee that we will bring the full weight of our firm’s experience and resources to bear.
Put our highly experienced team on your side
Dr. Nick Oberheiden
Founder
Attorney-at-Law
Lynette S. Byrd
Former DOJ Trial Attorney
Partner
Brian J. Kuester
Former U.S. Attorney
Hon. Kevin McCarthy
55th Speaker, U.S. House of Representatives (ret.)
Government Consultant
Mike Pompeo
Of Counsel
Former U.S. Secretary of State
John W. Sellers
Former Senior DOJ Trial Attorney
Linda Julin McNamara
Federal Appeals Attorney
Nicholas B. Johnson
Former Prosecutor
Roger Bach
Former Special Agent (DOJ)
Chris J. Quick
Former Special Agent (FBI & IRS-CI)
Michael S. Koslow
Former Supervisory Special Agent (DOD-OIG)
Ray Yuen
Former Supervisory Special Agent (FBI)
Types of BIS Investigations We Handle
We serve as federal defense counsel for BIS investigations targeting all types of alleged statutory and regulatory violations, including (but by no means limited to) violations of the EAR and the BIS’s anti-boycott regulations. Some representative examples of the types of BIS investigations we handle include:
- Export violations involving firearms and other controlled items
- Export violations related to China, Iran, and other sanctioned countries
- Investigations triggered by voluntary self-disclosures under the EAR
- Licensing violations under the EAR
- Other undisclosed violations of the EAR
- Violations of the BIS’s anti-boycott regulations
- Violations of BIS settlement agreements
Regardless of why the BIS is investigating your company (or you personally), understanding both the focus and the scope of the investigation will be critical to formulating a sound defense strategy. At Oberheiden P.C., we can use our experience to intervene in the BIS’s investigation immediately, communicate effectively with BIS agents, and then begin steering the investigation toward a favorable resolution. While defending against allegations from the BIS in federal court will be necessary in some cases, BIS investigations can often be favorably resolved through confidential settlements with the agency or by convincing agency officials that no form of penalization is warranted.
What To Do if You Are Being Targeted By the BIS
In all cases, successfully defending against a BIS investigation requires a proactive approach informed by a clear and comprehensive understanding of the relevant facts and the relevant law. With this in mind, if you have received a charging letter, proposed charging letter, subpoena, or any other form of communication from the BIS (or OEE), your immediate next steps should include:
1. Engage BIS Investigation Defense Counsel
Due to the substantial risks involved in facing scrutiny from the BIS and the complexity of the federal export and anti-boycott regulations, engaging experienced BIS investigation defense counsel is critical. From the moment you receive contact from the BIS, you should be relying on the advice and representation of experienced legal counsel.
2. Implement an Effective Legal Hold
After intervening in the BIS’s investigation, one of your legal counsel’s next steps should be to assist with implementing an effective legal hold. This will involve preserving all EAR compliance records and other relevant documents—which is essential for avoiding accusations of interference or destruction.
3. Conduct an Internal BIS Compliance Assessment
With all relevant documents preserved, you can conduct an internal BIS compliance assessment with the advice and oversight of your BIS investigation defense counsel. If your company is in noncompliance with the EAR (or any other applicable federal laws or regulations), this is something that you need to know as soon as possible.
4. Conduct an Unbiased Assessment of the Risks at Hand
Once your internal compliance assessment is complete, your BIS investigation defense counsel will be able to conduct an unbiased assessment of the risks at hand. Defending against a BIS investigation when you have clear documentation of compliance and defending against a BIS investigation when there is a very real risk of criminal prosecution are two very different scenarios.
5. Determine How Best to Approach the BIS’s Investigation
With an accurate understanding of the circumstances at hand, you will be able to rely on your defense counsel’s advice to make an informed decision about how best to approach the BIS’s investigation. As discussed above, this may involve attempting to resolve the investigation without further consequences, targeting a settlement with the BIS, or preparing to dispute the BIS’s allegations in federal court.
FAQs: Defending Against a BIS Investigation
What Are Some Potential Triggers for BIS Investigations?
A variety of issues can trigger scrutiny from the U.S. Bureau of Industry and Security (BIS). In many cases, investigations result from export and reexport transactions involving entities on one of the BIS’s four screening lists: (i) the Denied Persons List; (ii) the Entity List; (iii) the Unverified List (UVL); and, (iv) the Military End-User List (MEUL). But there are other possibilities as well, including concerns related to national security, and understanding why the BIS is investigating is a key step toward developing an informed defense strategy.
What Are the Potential Outcomes of a BIS Investigation?
In the best-case scenario, a BIS investigation will result in confirmation of compliance with the EAR, import and export laws, and other pertinent federal statutes and regulations–and the BIS will not pursue further action. However, if the BIS finds evidence of non-compliance an investigation could lead to administrative, civil, or even criminal penalties. In criminal enforcement cases, companies and individuals can face substantial fines, while individuals can also face federal imprisonment.
Do I Need to Engage Legal Counsel for BIS Investigation Defense?
Engaging experienced legal counsel is another key first step toward successfully defending against a BIS investigation. As we have discussed, these investigations tend to be both high-risk and highly complex; and, as a result, targeted companies and individuals cannot afford to take unnecessary chances. If you are facing scrutiny from the BIS, we have lawyers who are available to advise and assist you immediately.
What Should I Do if I Have Been Contacted By BIS?
If you have been contacted by BIS—whether in the form of a charging letter, proposed charging letter, subpoena, or another formal or informal communication—you should engage experienced defense counsel promptly. Avoiding unnecessary consequences will require a proactive and informed defense strategy, and this will require highly experienced legal representation.
What is a Charging Letter from the BIS?
A charging letter is a formal communication from the BIS that signifies agency personnel believe there is enough evidence to warrant further inquiry into possible violations of the federal export or anti-boycott laws and regulations. While receiving a charging letter does not necessarily mean that you (or your company) will face charges, it does mean that you need to begin working immediately to execute a strategic defense.
Speak with a Senior BIS Investigation Defense Lawyer at Oberheiden P.C. in Confidence
If you would like to know more about our lawyers’ federal experience or our BIS investigation defense practice, we invite you to get in touch. We will be more than happy to schedule a time for you to speak with one of our senior lawyers in strict confidence as soon as possible. Call us at 888-680-1745 or contact us online to arrange a call today.
