SES Complaint e-Book

Searching for a Subject of a Complaint

Introduction After initiating a complaint, you must search for a subject of the complaint. There are two options when searching for a subject: entering a known subject ID or following a guided search wizard.

Note: Users assigned to the Complaints group in SES can search for the subject of a complaint. See Managing Users for more information.

Complaints cannot be entered on depository companies/institutions at this time. The company information that displays in the search results represents non- depository companies with an account in NMLS. In a future version of the complaint system, agency complaint users will be able to enter and process a complaint on a depository. Entering the Subject ID Use this search option when you know the SES ID, NMLS ID, Entity Tracking Number, or State License Number for the subject.

1. Click Enter Subject ID.

2. Select Company, Branch, or Individual.

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 and can respond to the complaint; individuals do not need to create an SES account.

a. Search by Company allows you to enter SES ID, NMLS ID, Entity Tracking Number, or State License Number.

Updated: 6/25/2020