Entering a Complaint
After Searching for the Subject of a Complaint or creating a Non-NMLS Entity 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 & Consumer Complaints Roles for more
information.
The Agency POC is responsible for managing the complaint from start to finish. SES automatically assigns the Agency POC role to the user who enters a complaint into the system unless the complaint is sent for preliminary review. In that case, the person conducting the preliminary review has the option to select an Agency POC for the complaint.
Note: Only the agency POC and complaint supervisor can send
information requests to the company.