Compliance Officer

Nelson A Locke, Esq

Compliance Office

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  • Nelson A Locke, Esq. is the company’s independent compliance attorney. He oversees the company’s business practice as well as policies and guidelines in place that comply with state and government regulators. Nelson A Locke is an attorney with over 24 years of experience as a Mortgage Banker. He is an expert in mortgage regulations with high level knowledge of the intent and application of the SAFE ACT, the National  Mortgage Licensing System, Dodd-Frank, the CFPB, TILA, RESPA, ECOA, FFLA, HOEPA, FACTA, FCRA, COOPA, Regulation Z, AML, BSA, GLB, and Privacy Laws. 



Attorney Lock Nelson is currently licensed by the California Bar (293842) and admitted to the Florida, Texas, Oklahoma, Colorado, and California Federal Bars.  He is also a licensed MLO by the NMLS (149450)