ING Financial Partners Inc.

07/27/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. EAF0400760002 Re: Financial Network Investment Corporation, Inc., CRD No. 13582. ING Financial Partners, Inc., CRD No. 2882 Multi-Financial Securities Corporation, Inc., CRD No. 10299 PrimeVest Financial Services, Inc., CRD No. 15340 (collectively, "Respondents") Pursuant to Rule 9216 of NASD's Code of Procedure, Respondents submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

Reference EAF0400760002data-portal.finra.orgfinra.org

02/19/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012031270301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Directed Services, LLC CRD No. 21675 ING America Equities, Inc. CRD 36259 ING Financial Advisers, LLC CRD 34815 ING Financial Partners, Inc. CRD 2882 ING Investment Advisors, LLC CRD 3989 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents submit this Letter of Acceptance, Waiver and Consent ("AWC") for the

Reference 2012031270301data-portal.finra.orgfinra.org

04/27/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060039805 To: Department of Enforcement NASD Re: ING Financial Partners, Inc. Member (CRD No. 2882) Pursuant to Rule 9216 of the NASD Code of Procedure, ING Financial Partners, Inc. (IFP), submits this Letter of Acceptance, Waiver and Consent for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future

Reference 2006003980501finra.orgdata-portal.finra.org