Aletheia Financial Forensics, P.L.L.C.

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1 Aletheia Financial Forensics, P.L.L.C. Forensic Accounting, Investigations & Expert Services CURRICULUM VITAE James H. Rumph Certified Public Accountant (CPA)/ Certified Fraud Examiner (CFE)/ Certified Valuation Analyst (CVA)/ Master Analyst in Financial Forensics (MAFF)/ Certified Internal Auditor (CIA)/ Certified Anti-Money Laundering Specialist (CAMS)/ Associate, Life Management Institute (ALMI) EDUCATION Master of Accounting with a concentration in Forensic, Florida Atlantic University, 2009, 4.0 GPA Bachelor of Arts in both Accounting and Business Administration, Graceland University, 2006, 4.0 GPA Associate of Business in Accounting, AIB College of Business, 2004 Hundreds of hours of continuing educations courses BACKGROUND James H. Rumph, a founding Aletheia Financial Forensics Partner, holds the following designations: CPA, CFE, CVA, MAFF, CIA, CAMS, and ALMI. He has extensive experience and training related to investigating suspicions of fraudulent activity, analyzing financial records and transactions, and helping attorneys, their clients, and judges and juries understand the economics of legal disputes. Immediately prior to founding AFF, Mr. Rumph served as Life and Annuity Forensic Investigator for two Des Moines, Iowa based insurance companies. During his three years in that position, he led investigations of suspicions of fraudulent activity related to life insurance and annuity products. From 2008 to 2011, Mr. Rumph served as a Forensic Accountant based out of the Des Moines office of the Federal Bureau of Investigation (FBI). His activities with the FBI included white collar crime investigations, reviewing and analyzing financial records, assisting with subject and witness interviews, and preparing for and testifying in judicial proceedings. Prior to joining the FBI, he P.O. Box 806 Waukee, IA

2 Page 2 was a forensic accounting/litigation services consultant for a top 50 CPA firm based in Atlanta, Georgia. In this role, he consulted on a variety of litigation matters, including allegations of fraud, business interruption insurance claims, family law/divorce cases, and various other disputes. Mr. Rumph has also taught graduate and undergraduate level Fraud Examination/Forensic Accounting courses as an adjunct instructor. SELECT EXPERIENCE Licenses and Designations: Certified Public Accountant (CPA), licensed in the States of Iowa, Illinois, and Georgia Certified Fraud Examiner (CFE), Association of Certified Fraud Examiners (ACFE) Certified Valuation Analyst (CVA), National Association of Certified Valuators and Analysts (NACVA) Master Analyst in Financial Forensics (MAFF), NACVA Certified Internal Auditor (CIA), Institute of Internal Auditors Certified Anti Money Laundering Specialist (CAMS), Association of Certified Anti Money Laundering Specialists (ACAMS) Associate, Life Management Institute (ALMI), Life Office Management Association (LOMA) Private Investigator, Iowa Department of Public Safety Employment: Partner, Aletheia Financial Forensics, P.L.L.C., Waukee, IA, January 2015 through Current Adjunct Instructor, Drake University Master of Accounting program, Des Moines, IA, August 2014 through Current Adjunct Faculty, AIB College of Business, Des Moines, IA, December 2013 through Current Life and Annuity Forensic Investigator, Midland National Life Insurance Company and North American Company for Life and Health Insurance, members of Sammons Financial Group, West Des Moines, IA, November 2011 through December 2014

3 Page 3 Employment (continued): Forensic Accountant, Federal Bureau of Investigation (FBI), West Des Moines, IA, July 2008 to November 2011 Senior Consultant Litigation Support, Habif, Arogeti & Wynne, LLP, Atlanta, GA, August 2006 to June 2008 Staff Accountant Audit, LWBJ, LLP, West Des Moines, IA, September 2005 to July 2006 Staff Accountant, Schnoes & Dahm, P.C., West Des Moines, IA, February 2004 to September 2005 Tax Preparer/Office Manager, Jackson Hewitt Tax Service, Des Moines, IA, January 2004 to April 2004 (seasonal position) Trial Testimony Delivered: United States of America vs. Lane Anderson, Paul Kramer, Shannon Flickinger, and Dave Mable Trial of Lane Anderson and Paul Kramer (November 2012), United States District Court for the Southern District of Iowa, Case No. 4:2011 cr United States of America vs. Clarence Allen Rice (June 2011), United States District Court for the Southern District of Iowa, Case No. 4:2010 cr United States of America vs. Brian Jermain Williams, Rumeal James Robinson, and Stephenie Hodge Trial of Rumeal James Robinson (September 2010), United States District Court for the Southern District of Iowa, Case No. 4:2009 cr Court Affidavits: United States of America vs. Phyllis Rowe Stevens (a/k/a Phyllis Demass) and Marla Randolph Stevens (a/k/a Marla Stevens Peeples) Affidavit for bank account temporary restraining order (October 2009), United States District Court for the Southern District of Iowa, Case No. 4:2009 cr Grand Jury Testimony: Numerous cases, 2008 through 2011 Depositions and Arbitrations: None

4 Page 4 PUBLICATIONS/ PRESENTATIONS Articles Published: Agent Identity Theft: You May be at Higher Risk than the Average Consumer, Compliance Corner (Midland National Life Insurance Company and North American Company for Life and Health Insurance), December 2013 Stomping Out the Fraud Fire, The Advisor (Habif, Arogeti & Wynne, LLP), Summer 2007 Identity Fraud: Know the Process, The Advisor (Habif, Arogeti & Wynne, LLP), Summer 2007 Presentations Delivered: Financial Statement Fraud and Asset Misappropriation A Multi Million Dollar Local Case Study, Drake University Master of Accounting students, Des Moines, IA, October 2015 Occupational Fraud: Rotary Club Case Study, Waukee Rotary Club, Waukee, IA, September 2015 Life Insurance SIUs: Effective In House Operations within the Regulations, Reinsurance Group of America, Inc. (RGA) Third Annual Fraud Conference, Chesterfield, MO, August 2015 Life Insurance Fraud: Utilizing Identity Verification Tools to Combat Risk, Society of Actuaries (SOA): Underwriting Issues and Innovations Seminar, Chicago, IL, August 2015 Combating Application and Claim Fraud: Analyzing 4506 T Transcripts, insurance company based out of St. Paul, MN, Webinar, July 2015 Financial Administrators and Corporate Management Worldwide Fraud Awareness, private company individuals from ten different countries, Des Moines, IA, June 2015 Financial Exploitation: Elderly and Vulnerable Individuals, Association of Certified Fraud Examiners (ACFE) Chapter 118, panel discussion, Des Moines, IA, May 2015 General Fraud Awareness Training for Accountants, Accounting and Financial Womenʹs Alliance (AFWA) Des Moines Chapter, Des Moines, IA, November 2013 Presentation to accounting students about forensic accounting, AIB College of Business, Des Moines, IA, September 2013

5 Page 5 Presentations delivered (continued): Fraud Awareness: Trends, Leading Practices, and a Regulatory Perspective, Compliance and Ethics Forum for Life Insurers (CEFLI), panel discussion webinar, June 2012 Occupational Fraud: Dugan Case Study, Dallas Center Rotary Club, Dallas Center, IA, December 2011 Information Sharing through the Bank Secrecy Act, Federal Home Loan Bank of Des Moines, Des Moines, IA, May 2011 Stomping Out the Fraud Fire, North Perimeter (Atlanta) Chapter of the Georgia Society of CPAs (GSCPA), Atlanta, GA, May 2008 Stomping Out the Fraud Fire, GSCPA 2007 Accounting Institute, Athens, GA, October 2007 Numerous other anti fraud and anti money laundering presentations, Midland National Life Insurance Company and North American Company for Life and Health Insurance, 2011 through 2015 PROFESSIONAL AFFILIATIONS Iowa Society of Certified Public Accountants (ISCPA) Association of Certified Fraud Examiners (ACFE) Des Moines, IA ACFE Chapter (#118), President and former Treasurer National Association of Certified Valuators and Analysts (NACVA) Association of Certified Anti Money Laundering Specialists (ACAMS) National Association of Legal Investigators (NALI) Institute of Internal Auditors (IIA) Central Iowa IIA Chapter

BRINGING IT ALL TOGETHER

BRINGING IT ALL TOGETHER Part of the Finance & Accounting Series Premiere Date: November 19, 2014 1 MEET THE FACULTY J. Richard Claywell, International Association of Consultants Valuators and Analysts