Complaints e-Book

Initiating a Complaint

Introduction SES allows agencies to manage complaints. Initiating a complaint is the first step in entering a complaint into the system.

Note: Users with the Complaint Supervisor and Complaint Manager roles can initiate a complaint. See SES Agency System Roles and Groups for more information.

You can enter a complaint for depository or non-depository companies, branches, and individuals whose licenses may or may not be managed in NMLS, as well as Non-NMLS entities. See SES Complaints - More about Consumer Complaint Subjects for more information.

Accessing Complaints To begin entering a complaint, it is recommended that you go to the Complaints application within SES. Follow the steps below to navigate from the Supervisory Activity application to the Complaints application.

1. From the SES homepage, click Manage Complaints or click the waffle icon and select Complaints .

Updated: 8/20/2021