SES Complaint 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 assigned to the Complaints group in SES can enter a complaint. See Managing Users 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. 2. Select Bypass Preliminary Evaluation . 3. Click Create Complaint .

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

Entering a Complaint for an Individual The individual’s NMLS ID is carried over from the previous search q uery 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.

Updated: 6/26/2020