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LEE ALEXANDER GAUS NFA ID: 0033197 Current Status EFG GROUP LLC  • ASSOCIATED PERSON REGISTERED  • PRINCIPAL APPROVED  • NFA ASSOCIATE MEMBER APPROVED  FUTURES MARKETING ENTERPRISES  • ASSOCIATED PERSON REGISTERED  • NFA ASSOCIATE MEMBER APPROVED  • PRINCIPAL APPROVED  INTERNATIONAL FUTURES GROUP INC  • ASSOCIATED PERSON REGISTERED  • NFA ASSOCIATE MEMBER APPROVED  • PRINCIPAL APPROVED  NEW WORLD HOLDINGS LLC  • NFA ASSOCIATE MEMBER APPROVED  • ASSOCIATED PERSON REGISTERED  • PRINCIPAL APPROVED  Trading Privileges No trading privileges Regulatory Actions  Agency Number NFA 1 CFTC 0 Exchanges 0 details...   NFA Arbitration Decisions  Role Number Claimant 0 Respondent 0 details...   CFTC Reparations Cases Total 0 details... Formerly Known As No other names   Security Futures Proficiency Training No proficiency information available Doing Business As No other names History  Status Effective Date • FLOOR BROKER WITHDRAWN 01/28/1992  • FLOOR BROKER REGISTERED 04/01/1983  ADM INVESTOR SERVICES INC  • ASSOCIATED PERSON WITHDRAWN 12/20/1991  • NFA ASSOCIATE MEMBER WITHDRAWN 12/20/1991  • PRINCIPAL WITHDRAWN 12/20/1991  • NFA ASSOCIATE MEMBER APPROVED 08/01/1985  • PRINCIPAL APPROVED 03/27/1984  • ASSOCIATED PERSON REGISTERED 03/18/1981  EFG GROUP LLC  • ASSOCIATED PERSON REGISTERED 12/15/1992  • PRINCIPAL APPROVED 12/15/1992  • NFA ASSOCIATE MEMBER APPROVED 11/25/1992  • ASSOCIATED PERSON TEMPORARY LICENSE 11/25/1992  • ASSOCIATED PERSON PENDING 11/02/1992  • NFA ASSOCIATE MEMBER PENDING 11/02/1992  • PRINCIPAL PENDING 11/02/1992  FUTURES MARKETING ENTERPRISES  • ASSOCIATED PERSON REGISTERED 08/01/1997  • NFA ASSOCIATE MEMBER APPROVED 08/01/1997  • PRINCIPAL APPROVED 08/01/1997  • ASSOCIATED PERSON PENDING 07/28/1997  • NFA ASSOCIATE MEMBER PENDING 07/28/1997  • PRINCIPAL PENDING 07/28/1997  INTERNATIONAL FUTURES GROUP INC  • ASSOCIATED PERSON REGISTERED 02/24/1994  • NFA ASSOCIATE MEMBER APPROVED 02/24/1994  • PRINCIPAL APPROVED 02/24/1994  • ASSOCIATED PERSON PENDING 02/16/1994  • NFA ASSOCIATE MEMBER PENDING 02/16/1994  • PRINCIPAL PENDING 02/16/1994  IOWA GRAIN CO  • ASSOCIATED PERSON WITHDRAWN 11/01/1992  • NFA ASSOCIATE MEMBER WITHDRAWN 11/01/1992  • ASSOCIATED PERSON REGISTERED 03/09/1992  • NFA ASSOCIATE MEMBER APPROVED 01/10/1992  • ASSOCIATED PERSON TEMPORARY LICENSE 01/10/1992  NEW WORLD HOLDINGS LLC  • NFA ASSOCIATE MEMBER APPROVED 10/08/2003  • ASSOCIATED PERSON REGISTERED 10/08/2003  • NFA ASSOCIATE MEMBER PENDING 08/11/2003  • PRINCIPAL APPROVED 06/26/2003  • ASSOCIATED PERSON PENDING 06/23/2003  • PRINCIPAL PENDING 06/23/2003