Complaints e-Book

Entering a Complaint for an Individual The individual’s NMLS ID is carried over from the previous search query and you must enter the individual’s name.

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. 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 to associate the individual to a company and enter the company’s NMLS ID. If you do not associate the individual to a company, you cannot complete the information request process in SES complaints.

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 POC for the complaint.

Updated: 2/9/2022