Complaints e-Book

Entering a Complaint

Introduction After searching for a subject or creating a non-NMLS entity, you can enter a complaint in SES.

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

Entering a Complaint for a Company, Branch, or Non-NMLS Entity Company, branch, or Non-NMLS Entity information is automatically populated in the Subject Details section and cannot be edited.

Note: Regardless of whether you are entering a complaint for a company, branch, or individual, the complaint is ultimately tied to the company’s record , unless it is a non-NMLS entity. The company is sent the information requests; individuals do not need to create an SES account.

1. Complete all required fields.

Note: You have the option of entering several optional data points as part of the complaint creation process.

Related Supervisory Activities

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Related Complaints Related Companies

Related Non-NMLS Entities

Related Individuals

Agent Location Documents

Agent Locations

2. Select Bypass Preliminary Review . 3. Click Create Complaint .

Note: You also have the option to submit complaint for preliminary review. See the Completing Preliminary Review of a Complaint article for more information. If you do not submit the complaint for preliminary review, you are assumed as the agency Point of Contact (POC) for the complaint.

Updated: 2/9/2022